Scott T. 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 Trenham Gillespie was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1983. Scott had worked at 10 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 4, Series 27 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
October 4, 2018 - May 20, 2022
NTB FINANCIAL CORPORATION
May 13, 2016 - December 19, 2018
ADVISORS ASSET MANAGEMENT, INC.
September 27, 2012 - June 14, 2016
NTB FINANCIAL CORPORATION
December 6, 2010 - October 11, 2012
PHILLIPS CAPITAL
May 17, 2006 - February 10, 2009
PHILLIPS CAPITAL
January 2, 2000 - July 7, 2004
TCADVISORS NETWORK INC.
January 10, 1995 - December 6, 1999
D.E. FREY & COMPANY, INC.
April 9, 1992 - January 9, 1995
OSAIC WEALTH, INC.
August 8, 1990 - December 3, 1990
ALPINE BROKER SERVICES CORP.
January 2, 1990 - February 13, 1990
RCM GOVERNMENT SECURITIES, INC.
March 27, 1985 - September 28, 1989
DRAKE & COMPANY, INC.
August 24, 1983 - April 8, 1985
FIRST WILSHIRE SECURITIES, INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
NTB FINANCIAL CORPORATION
CRD#: 7425 / SEC#: 801-65853, 8-21884
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN, MICHAEL JOHN | SHAREHOLDER | 1437315 |
| PETRELLI, ANTHONY BENEDICT | SHAREHOLDER | 809169 |
| ROESENER, REGINA LEE | SHAREHOLDER | 1937783 |
| CAMPEN, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER, PRINCIPAL OPERATIONS OFFICER | 1959903 |
| DOWELL, BRAD ALLEN | CHIEF FINANCIAL OFFICER FINOP, PRINCIPAL FINANCIAL OFFICER | 1308189 |
Regulatory assets under management
| Total Number of Accounts | 724 |
| AUM (Assets Under Management) | $ 250,252,265 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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