Scott T. Rothfuss

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CRD#: 1302990

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 Thomas Rothfuss was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 1985. Scott had worked at 2 firms and has passed the Series 6 exam.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

September 19, 1995 - May 19, 1997

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

Past

June 28, 1985 - August 28, 1995

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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

General Industry/Product Exam

Series 6

Date: 6/27/1985

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WMA SECURITIES, INC.

CRD#: 32625 / SEC#: , 8-45728

Terminated by SEC on 06/30/2002

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Contact information

Main Address

Mailing Address

Phone number

Established

Georgia since 04/14/1993

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
WORLD MONEY GROUP, INC.	OWNER

Disclosures

Regulatory Event	6
Arbitration	6

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Scott T. Rothfuss

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WMA SECURITIES, INC.

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 6

Date: 6/27/1985

Current Firm

WMA SECURITIES, INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

WMA SECURITIES, INC.

TRUST BUT VERIFY

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