Scott L. Mccaleb
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 Lee Mccaleb was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1984. Scott had worked at 4 firms and has passed the SIE, Series 79TO, Series 7, Series 22 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 26, 2019 - July 22, 2024
HERITAGE CAPITAL GROUP, INC.
May 16, 1994 - May 15, 1996
SEARS. THOMPSON INVESTMENT GROUP, INC.
October 25, 1988 - March 21, 1991
UNION FINANCIAL SERVICES, INC.
February 22, 1984 - January 11, 1988
FLORIDA DIVERSIFIED 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 79TO
Date: 11/7/2019
Investment Banking Registered Representative ExaminationCurrent Firm
HERITAGE CAPITAL GROUP, INC.
CRD#: 44053 / SEC#: , 8-50519
Contact information
FINRA licenses (17 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WIGGINS, CHARLES DONALD | SHAREHOLDER | 2953990 |
| HOLLEY, CECIL MCNAIR | SHAREHOLDER | 5978590 |
| KRAVET, DOUGLAS MICHAEL | SHAREHOLDER/ FINOP | 4892745 |
| NICHOLSON, WILLIAM ROBERT | CCO | 4445995 |
| SERKIN, HOWARD CHARLES | SHAREHOLDER | 2956726 |
| KELLISON, CHARLES ALEXANDER | PRESIDENT/SHAREHOLDER | 5772126 |
| SORENSON, WILLIAM DICK | CEO/SHAREHOLDER | 6436196 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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