Scott D. Baines
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 Baines was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1983. Scott had worked at 5 firms and has passed the Series 66, Series 63, Series 52TO, Series 57TO, Series 42, Series 62, SIE, Series 55, Series 3, Series 7, Series 53 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 22, 2021 - January 20, 2023
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
May 31, 2000 - January 20, 2023
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
April 29, 2000 - May 30, 2000
WELLS FARGO SECURITIES, LLC
September 27, 1991 - April 29, 2000
BLACK & COMPANY, INC.
November 13, 1987 - March 28, 1989
SECURITY PACIFIC SECURITIES OF OREGON, INC.
January 19, 1983 - December 11, 1987
KIDDER, PEABODY & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 42
Date: 1/2/2023
Registered Options Representative ExaminationSeries 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationSeries 55
Date: 3/9/2000
Limited Representative-Equity Trader ExamCurrent Firm
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
CRD#: 1254 / SEC#: 801-67179, 8-2915
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 2,712 |
| AUM (Assets Under Management) | $ 990,880,713 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
