Daniel Scotto
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.
Daniel Scotto was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1983. Daniel had worked at 10 firms and has passed the Series 63, Series 16, 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
June 14, 2012 - December 5, 2013
MISCHLER FINANCIAL GROUP, INC.
July 21, 2009 - September 22, 2009
HFP CAPITAL MARKETS LLC
April 19, 2000 - December 17, 2001
BNP PARIBAS SECURITIES CORP.
November 22, 1999 - February 3, 2000
KUHNS BROTHERS SECURITIES CORPORATION
October 4, 1999 - April 18, 2000
UTENDAHL CAPITAL PARTNERS, L.P.
January 22, 1999 - February 16, 1999
BURLINGTON CAPITAL MARKETS INC.
October 1, 1998 - March 24, 1999
CARNEGIE CHILDS & COMPANY L.L.C.
January 26, 1994 - July 1, 1998
J.P. MORGAN SECURITIES LLC
February 18, 1989 - February 10, 1994
PERSHING LLC
July 20, 1983 - February 9, 1989
L. F. ROTHSCHILD & 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
Current Firm
MISCHLER FINANCIAL GROUP, INC.
CRD#: 37818 / SEC#: , 8-48067
Contact information
FINRA licenses (49 States and Territories)
Documents
Disclosures
| Regulatory Event | 6 |
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.
