Scott D. Gillespie
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Scott Douglas Gillespie was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1982. Scott had worked at 15 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2019 - September 28, 2020
ECOBAN SECURITIES CORPORATION
January 23, 2013 - November 29, 2017
WFG INVESTMENTS, INC.
December 18, 2009 - December 6, 2012
CAPIS
February 7, 2008 - May 12, 2009
ROTH CAPITAL PARTNERS, LLC
October 25, 2004 - December 1, 2005
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 21, 2003 - November 2, 2004
A. G. EDWARDS & SONS, INC.
June 14, 1999 - June 4, 2002
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - June 14, 1999
DB ALEX. BROWN LLC
December 10, 1996 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
February 24, 1995 - September 18, 1996
GEORGE K. BAUM & COMPANY
June 15, 1987 - March 10, 1990
CREDIT SUISSE SECURITIES (USA) LLC
September 4, 1985 - July 11, 1987
PERSHING LLC
April 11, 1984 - July 15, 1985
DILLON, READ SECURITIES INC.
March 21, 1984 - August 9, 1985
SBC WARBURG DILLON READ INC.
September 26, 1983 - March 30, 1984
KIDDER, PEABODY & CO. INCORPORATED
September 29, 1982 - September 20, 1983
DILLON, READ SECURITIES INC.
July 22, 1982 - October 1, 1982
SBC WARBURG DILLON READ INC.
State Registrations and Notice Filings
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Exams
Current Firm
ECOBAN SECURITIES CORPORATION
CRD#: 29112 / SEC#: , 8-39753
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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