Douglas J. 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.
Douglas Jay Scott, who also goes by Douglas Jay Frankenstein, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1983. Douglas had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 2002 - December 13, 2005
OAK TREE SECURITIES, INC.
January 30, 1991 - November 7, 2017
OAK TREE SECURITIES, INC.
November 19, 1989 - June 7, 1991
OSAIC WEALTH, INC.
October 31, 1989 - December 31, 1990
E.F. DALY FINANCIAL GROUP
October 8, 1984 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
August 24, 1983 - September 18, 1984
EQUITEC SECURITIES COMPANY
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
OAK TREE SECURITIES, INC.
CRD#: 18126 / SEC#: 801-39201, 8-36138
Contact information
FINRA licenses (19 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 5 |
| AUM (Assets Under Management) | $ 3,689,200 |
Disclosures
| Regulatory Event | 2 |
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.
