Scott A. Scales
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 Alan Scales, who also goes by Scott Scales, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1984. Scott had worked at 10 firms and has passed the Series 63, Series 6TO, SIE 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
March 11, 2009 - September 24, 2020
ALLSTATE FINANCIAL SERVICES, LLC
October 6, 2004 - December 17, 2004
BLUE VASE SECURITIES, LLC
June 20, 2001 - October 9, 2002
USALLIANZ SECURITIES, INC.
September 10, 1998 - May 25, 2001
SIGNATOR FINANCIAL SERVICES, INC.
October 2, 1995 - December 31, 1996
WOODBURY FINANCIAL SERVICES, INC.
September 15, 1992 - September 6, 1995
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 21, 1989 - October 6, 1993
TOWER SQUARE SECURITIES, INC.
April 10, 1987 - August 18, 1989
TRANSAMERICA SECURITIES SALES CORPORATION
April 10, 1987 - August 18, 1989
TRANSAMERICA FINANCIAL ADVISORS, INC.
August 27, 1984 - May 4, 1987
PRUCO SECURITIES, LLC.
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 6TO
Date: 6/27/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
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.
