Wallace C. Scott
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.
Wallace Cammell Scott was a registered financial advisor .
Wallace is a previously registered financial advisor and started their career in finance in 1993. Wallace had worked at 6 firms and has passed the Series 65, Series 63, Series 7 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
May 17, 2005 - April 25, 2006
FIRST MIDWEST SECURITIES, INC.
May 9, 2005 - April 25, 2006
FIRST MIDWEST SECURITIES, INC.
August 21, 2003 - October 25, 2004
SAXONY SECURITIES, INC.
June 4, 2003 - July 17, 2003
J.J.B. HILLIARD, W.L. LYONS, LLC
June 1, 2002 - July 17, 2003
J.J.B. HILLIARD, W.L. LYONS, LLC
October 7, 1996 - June 1, 2002
PNC BROKERAGE CORP
September 7, 1994 - October 4, 1996
ALLSTATE FINANCIAL SERVICES, LLC
August 13, 1993 - June 24, 1994
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
Current Firm
FIRST MIDWEST SECURITIES, INC.
CRD#: 21786 / SEC#: 801-67749, 8-38139
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
