Neil L. Sclater-booth
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.
Neil Lutley Sclater-booth, who also goes by Lord Basing, Neil Lutley Sclaterbooth, was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1984. Neil had worked at 12 firms and has passed the Series 3, Series 1, Series 27 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2005 - September 21, 2006
STONEX FINANCIAL INC.
July 1, 2003 - November 4, 2004
SEIDMAN PRIVATE SECURITIES LLC
April 27, 1994 - January 27, 1995
OCTOBER ASSOCIATES, INC.
March 21, 1994 - January 3, 2003
ICBC STANDARD SECURITIES INC.
January 31, 1994 - March 18, 1994
COLEMAN & COMPANY SECURITIES, INC.
April 27, 1992 - October 19, 1993
KNICKERBOCKER SECURITIES, INC.
April 14, 1992 - December 22, 1992
VALUE INVESTING PARTNERS, INC.
December 9, 1991 - April 11, 1992
ABSA SECURITIES, INC.
October 2, 1990 - May 4, 1992
UNICREDIT CAPITAL MARKETS LLC
October 11, 1988 - March 30, 1989
KEANE SECURITIES CO., INC.
October 17, 1984 - October 7, 1986
S.G. WARBURG & CO. INC.
May 14, 1984 - August 19, 1986
S.G. WARBURG, ROWE & PITMAN, AKROYD SECURITIES INC.
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
Series 1
Date: 1/10/1964
Registered Representative ExaminationSeries 40
Date: 4/27/1967
Registered Principal ExaminationCurrent Firm
STONEX FINANCIAL INC.
CRD#: 45993 / SEC#: , 8-51269
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| DAVISON, STUART ANDREW | DIRECTOR; CHIEF OPERATING OFFICER | 7824576 |
| DICIOLLO, ANTHONY JOSEPH | PRESIDENT/DIRECTOR | 4976402 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR, CHIEF FINANCIAL OFFICER | 6505923 |
| LYON, CHARLES MARTIN | DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER | 4000852 |
| MAURER, MARK L | DIRECTOR, CHIEF RISK OFFICER | 4234406 |
| PORZIO, JOSEPH JOHN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1319702 |
| SMITH, PHILIP ANDREW | DIRECTOR | 4999097 |
| SZEKELY, GIGI KLARA | CHIEF COMPLIANCE OFFICER - BD DIVISION | 2530826 |
Disclosures
| Regulatory Event | 75 |
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.
