Scott T. Brandt
Professional summary
Scott Thomas Brandt was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Scott Thomas Brandt was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1984. Scott had worked at 3 firms and has passed the Series 63 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
July 23, 2007 - June 23, 2009
LIGHTHOUSE CAPITAL CORPORATION
May 9, 1996 - July 26, 2005
NEW ENGLAND SECURITIES
June 19, 1992 - April 30, 1996
SUNAMERICA SECURITIES, INC.
January 10, 1984 - June 4, 1992
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
Current Firm
LIGHTHOUSE CAPITAL CORPORATION
CRD#: 41812 / SEC#: , 8-49576
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
