Scott T. Valente
Professional summary
Scott Thomas Valente was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Scott is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Scott had worked at 6 firms, which includes PURSHE KAPLAN STERLING INVESTMENTS, MORGAN STANLEY DW INC., LINCOLN FINANCIAL DISTRIBUTORS INC., DIME SECURITIES INC., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 1996 - February 5, 2009
PURSHE KAPLAN STERLING INVESTMENTS
April 21, 1994 - July 25, 1996
MORGAN STANLEY DW INC.
June 23, 1993 - April 21, 1994
LINCOLN FINANCIAL DISTRIBUTORS, INC.
October 30, 1992 - November 27, 1992
DIME SECURITIES, INC.
November 3, 1988 - July 14, 1993
IDS LIFE INSURANCE COMPANY
November 3, 1988 - July 14, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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