Scott A. Hootman

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CRD#: 1264853

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 Anderson Hootman, who also goes by Scott Hootman, was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 1984. Scott had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Scott Hootman

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

April 20, 2015 - January 15, 2016

CRT CAPITAL GROUP LLC

CRD#: 28830

CHICAGO, IL

Past

February 28, 2006 - April 20, 2015

STERNE, AGEE & LEACH, INC.

CRD#: 791

CHICAGO, IL

Past

February 24, 2006 - March 15, 2006

MOORS & CABOT, INC.

CRD#: 594

CHICAGO, IL

Past

May 17, 2002 - February 24, 2006

MOORS & CABOT, INC.

CRD#: 594

CHICAGO, IL

Past

March 9, 2002 - April 10, 2002

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

April 30, 1997 - March 9, 2002

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

October 17, 1994 - May 14, 1997

RODMAN & RENSHAW INC.

CRD#: 724

CHICAGO, IL

Past

July 8, 1991 - October 21, 1994

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

May 1, 1989 - July 24, 1991

LEHMAN BROTHERS INC.

CRD#: 7506

Past

March 7, 1988 - May 26, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

July 28, 1987 - April 14, 1988

L. F. ROTHSCHILD & CO. INCORPORATED

CRD#: 501

Past

May 21, 1985 - July 24, 1991

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

May 25, 1984 - May 22, 1985

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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: 5/30/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/15/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/19/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 10/18/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 8/27/2002

General Securities Sales Supervisor - Options Module Examination

Current Firm

CRT CAPITAL GROUP LLC

CREDIT RESEARCH AND TRADING CORP. | STERNE AGEE CRT | CRT CAPITAL GROUP LLC | CREDIT RESEARCH AND TRADING LLC

CRD#: 28830 / SEC#: , 8-43940

Terminated by SEC on 11/29/2016

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 12/31/1993

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
CRT GREENWICH LLC	PARENT COMPANY
KALISH, GEOFFREY ORIN	BOARD CHAIRMAN OF PARENT COMPANY AND CCO
NIELSEN, JOHN DAVID	GENERAL COUNSEL	5889411
TUITE, ROBERT KEVIN	CHIEF FINANCIAL OFFICER AND FINOP	2862493

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 A. Hootman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

STERNE, AGEE & LEACH, INC.

MOORS & CABOT, INC.

MOORS & CABOT, INC.

RBC CAPITAL MARKETS, LLC

TUCKER ANTHONY INCORPORATED

RODMAN & RENSHAW INC.

CIBC WORLD MARKETS CORP.

LEHMAN BROTHERS INC.

DREXEL BURNHAM LAMBERT INCORPORATED

L. F. ROTHSCHILD & CO. INCORPORATED

LEHMAN BROTHERS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 5/30/1984

SIE

Date: 1/15/2016

Series 7

Date: 5/19/1984

Series 10

Date: 10/18/2002

Series 9

Date: 8/27/2002

Current Firm

CRT CAPITAL GROUP LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CRT CAPITAL GROUP LLC

TRUST BUT VERIFY

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