Thomas 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.
Thomas Chalmers Scott was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 22, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 12, 2019 - October 16, 2019
PURSHE KAPLAN STERLING INVESTMENTS
August 27, 2010 - November 6, 2017
MORGAN STANLEY
August 27, 2010 - November 6, 2017
MORGAN STANLEY
December 31, 1997 - September 7, 2010
LPL FINANCIAL LLC
January 5, 1993 - September 7, 2010
LPL FINANCIAL LLC
March 18, 1991 - January 5, 1993
LINCOLN FINANCIAL DISTRIBUTORS, INC.
June 21, 1989 - March 22, 1991
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
April 21, 1988 - June 19, 1989
INTEGRATED RESOURCES INVESTMENT CENTERS, INC.
February 3, 1986 - February 10, 1987
GAF FINANCIAL AND INSURANCE SERVICES
December 21, 1985 - March 17, 1988
PAMCO SECURITIES AND INSURANCE SERVICES
April 22, 1985 - November 25, 1985
TOWER SQUARE SECURITIES, INC.
July 30, 1984 - February 11, 1985
APEX FINANCIAL PLANNERS 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
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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