John P. Scott
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.
John Paul Scott, who also goes by Jp Scott, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 72, Series 62, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2016 - January 4, 2022
AXIOM CAPITAL MANAGEMENT, INC.
February 10, 2015 - May 15, 2018
BECK CAPITAL MANAGEMENT LLC
August 12, 2013 - February 19, 2014
WFG ADVISORS, LP
August 12, 2013 - February 19, 2014
WFG INVESTMENTS, INC.
February 1, 2012 - August 7, 2013
ALAMO ASSET ADVISORS
April 15, 2010 - August 2, 2013
WFG INVESTMENTS, INC.
September 8, 2009 - April 16, 2010
LPL FINANCIAL LLC
June 26, 2008 - December 31, 2011
J.P. SCOTT & COMPANY, LLC
June 25, 2008 - January 23, 2012
J.P. SCOTT & COMPANY, LLC
June 23, 2008 - September 8, 2009
MUTUAL SERVICE CORPORATION
April 24, 1997 - June 24, 2008
GROVE POINT INVESTMENTS, LLC
April 24, 1997 - June 24, 2008
GROVE POINT INVESTMENTS, LLC
January 24, 1997 - April 29, 1997
FFP SECURITIES, INC.
March 17, 1988 - October 3, 1989
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
January 30, 1987 - January 15, 1988
E. F. HUTTON & COMPANY INC
February 23, 1984 - July 8, 1986
NEW ENGLAND SECURITIES
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 72
Date: 12/4/2002
Government Securities Representative ExaminationSeries 62
Date: 1/19/2001
Corporate Securities Limited Representative ExaminationCurrent Firm
AXIOM CAPITAL MANAGEMENT, INC.
CRD#: 26580 / SEC#: , 8-42638
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
