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Scott D. Sutherland

Some features on this profile are disabled
CRD#: 1303204
SS

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 David Sutherland, who also goes by Scott Daivd Hirschfield, Scott Daniel Hirschfield, Scott David Hirschfield, Scott Daniel Sutherland, was a registered financial advisor .

Scott is a previously registered financial advisor and started their career in finance in 1986. Scott had worked at 11 firms and has passed the Series 63, Series 65, Series 31, Series 5 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Scott Daivd Hirschfield | Scott Daniel Hirschfield | Scott David Hirschfield | Scott Daniel Sutherland

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

January 24, 2011 - April 14, 2011

SHORELINE PACIFIC, LLC

BD
CRD#: 104417
SAN FRANCISCO, CA
Past

November 10, 2010 - January 21, 2011

SHORELINE PACIFIC, LLC

BD
CRD#: 104417
SAN FRANCISCO, CA
Past

September 3, 2008 - June 15, 2009

M1 ENERGY CAPITAL SECURITIES, LLC

BD
CRD#: 127298
CHICAGO, IL
Past

January 9, 2008 - August 20, 2008

GUNNALLEN FINANCIAL, INC

RIA
CRD#: 17609
CHICAGO, IL
Past

October 19, 2007 - August 20, 2008

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
CHICAGO, IL
Past

May 15, 2006 - July 5, 2007

ADVANCED EQUITIES, INC.

BD
CRD#: 35545
CHICAGO, IL
Past

July 2, 2004 - March 9, 2005

PRESTWICK SECURITIES, INC.

BD
CRD#: 28030
SKOKIE, IL
Past

May 14, 2001 - July 16, 2002

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
CHICAGO, IL
Past

February 8, 2001 - July 16, 2002

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

May 27, 2000 - February 21, 2001

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

August 16, 1994 - May 27, 2000

SCHRODER & CO. INC.

BD
CRD#: 6112
NEW YORK, NY
Past

October 3, 1990 - August 15, 1994

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

July 27, 1989 - October 5, 1990

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

May 26, 1989 - August 3, 1989

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

May 21, 1986 - June 19, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323

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

State Security Law Exam
RR
Series 63
Date: 5/25/2006
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/2/1999
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 31
Date: 5/8/2002
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 5
Date: 5/23/1986
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 7
Date: 5/17/1986
General Securities Representative Examination

Current Firm

SP
SHORELINE PACIFIC, LLC
SHORELINE PACIFIC, LLC

CRD#: 104417 / SEC#: , 8-52879

BD
Terminated by SEC on 04/06/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 08/28/2000
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
KLEIMAN, HARLAN PHILLIPCHIEF COMPLIANCE OFFICER & CEO2546618
SMITH, EDWARD MERRILL JRFINOP - CFO3143679

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.

Company Information

SHORELINE PACIFIC, LLC

CRD#: 104417

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