Michael W. 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.
Michael Woody Scott was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1985. Michael had worked at 3 firms and has passed the Series 63, SIE, Series 50, Series 52, Series 54FN and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2003 - July 8, 2019
NW CAPITAL MARKETS INC.
April 23, 1992 - November 23, 2001
ICAP FINANCIAL, INC.
March 29, 1985 - May 21, 1990
PACIFICORP CAPITAL 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 54FN
Date: 1/19/1985
Municipal Securities Financial and Operations Principal ExaminationCurrent Firm
NW CAPITAL MARKETS INC.
CRD#: 17622 / SEC#: , 8-35363
Contact information
FINRA licenses (12 States and Territories)
Documents
Disclosures
| Regulatory Event | 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.
