Scott F. Merlis

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CRD#: 1222722

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 Farrel Merlis was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 1988. Scott had worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 87, Series 86, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 11, 2010 - January 16, 2025

M.M. DILLON & CO. LLC

CRD#: 19878

GREENWICH, CT

Past

March 4, 2009 - March 10, 2010

SOURCE CAPITAL GROUP, INC.

CRD#: 36719

WESTPORT, CT

Past

July 25, 2003 - February 27, 2007

THOMAS WEISEL PARTNERS LLC

CRD#: 46237

NEW YORK, NY

Past

November 21, 2002 - July 15, 2003

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

April 30, 2002 - October 3, 2002

DRESDNER KLEINWORT WASSERSTEIN, LLC

CRD#: 22068

NEW YORK, NY

Past

February 26, 2001 - April 30, 2002

COMMERZ MARKETS LLC

CRD#: 41957

NEW YORK, NY

Past

October 30, 1998 - February 26, 2001

DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC.

CRD#: 24074

NEW YORK, NY

Past

August 15, 1997 - October 28, 1998

VALUE INVESTING PARTNERS, INC.

CRD#: 29737

WESTPORT, CT

Past

October 17, 1988 - September 11, 1995

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 10/26/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 12/20/2004

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 8/18/2004

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 55

Date: 12/9/2002

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 12/27/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/16/2012

General Securities Principal Examination

Current Firm

M.M. DILLON & CO. LLC

C.E. PFEIFER & CO., INC. | M.M. DILLON & CO. LLC | C.E. PFEIFER LLC

CRD#: 19878 / SEC#: , 8-37893

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

One Sound Shore Drive Suite 100, Greenwich, CT 06830

Mailing Address

One Sound Shore Drive Suite 100, Greenwich, CT 06830

Phone number

(203) 569-6800

Established

Delaware since 03/26/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (8 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
C. E. PFEIFER HOLDINGS, LLC	HOLDING COMPANY
MCCARTY, MICHIEL CLEVE	CHAIRMAN & CEO	1061313
ESPINAL, MICHAEL	CHIEF COMPLIANCE OFFICER	1947563

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Scott F. Merlis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SOURCE CAPITAL GROUP, INC.

THOMAS WEISEL PARTNERS LLC

DEUTSCHE BANK SECURITIES INC.

DRESDNER KLEINWORT WASSERSTEIN, LLC

COMMERZ MARKETS LLC

DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC.

VALUE INVESTING PARTNERS, INC.

MORGAN STANLEY & CO. LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/26/1992

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 87

Date: 12/20/2004

Series 86

Date: 8/18/2004

Series 55

Date: 12/9/2002

Series 7

Date: 12/27/1999

Series 24

Date: 7/16/2012

Current Firm

M.M. DILLON & CO. LLC

Contact information

FINRA licenses (8 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

M.M. DILLON & CO. LLC

TRUST BUT VERIFY

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