Scott S. Prince
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 Steven Prince was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1985. Scott had worked at 7 firms and has passed the Series 63, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2008 - January 18, 2012
HASTINGS CAPITAL GROUP, LLC
March 27, 1998 - May 14, 2004
GOLDMAN SACHS & CO. LLC
September 10, 1997 - March 23, 1998
NATWEST SECURITIES CORPORATION
April 11, 1991 - September 6, 1996
MORGAN STANLEY & CO. LLC
July 19, 1988 - March 8, 1991
O'CONNOR & ASSOCIATES
November 18, 1985 - October 6, 1986
DREXEL BURNHAM LAMBERT INCORPORATED
July 5, 1985 - November 25, 1985
BROADCHILD SECURITIES CORP.
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
Current Firm
HASTINGS CAPITAL GROUP, LLC
CRD#: 142998 / SEC#: , 8-67517
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCARAMUCCI, ANTHONY (NMN) | MANAGER, MEMBER, CHIEF EXECUTIVE OFFICER, GENERAL SECURITIES PRINCIPAL | 1983175 |
| MESSING, BRETT STUART | MANAGER, MEMBER | 2077288 |
| KIRSCHENBLAT, CHAD ETHAN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 2503352 |
| NOBLE, ALEXANDRA MARIE | CHIEF COMPLIANCE OFFICER, GENERAL SECURITIES PRINCIPAL | 5341828 |
| URREY, MINNA KATARIINA | CHIEF ADMINISTRATIVE OFFICER, GENERAL SECURITIES PRINCIPAL | 5429274 |
| WRIGHT, JASON RALPH | PRESIDENT, MEMBER, GENERAL SECURITIES PRINCIPAL | 2940758 |
Red Flags
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