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SW

Scott D. Ward

NORTHERN CAPITAL SECURITIES
North Andover, MA 01845
Some features on this profile are disabled
CRD#: 1312650
SW

Professional summary

Scott Denison Ward is a registered financial professional currently at NORTHERN CAPITAL SECURITIES CORPORATION located in North Andover, Massachusetts.

Scott is registered as a RR (Registered Representative) and started their career in finance in 1984. Scott has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Scott Denison Ward's CRS (Customer Relationship Summary).

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

Current

July 1, 1996 - Present

NORTHERN CAPITAL SECURITIES CORPORATION

Office #1: 50 High Street 4th Floor, North Andover, MA 01845
RIA
BD
CRD#: 40659
North Andover, MA
Past

January 1, 1996 - June 6, 2005

NORTHERN CAPITAL ADVISORS CORPORATION

RIA
CRD#: 117971
ANDOVER, MA
Past

October 6, 1995 - July 3, 1996

C.A. ATLANTIC SECURITIES, INC.

BD
CRD#: 16358
BOSTON, MA
Past

September 2, 1987 - August 29, 1989

NEW ENGLAND DISCOUNT BROKERAGE, INC.

BD
CRD#: 17907
Past

December 9, 1985 - May 19, 1987

CLAYTON, POLLEYS & CO., INC.

BD
CRD#: 6461
Past

October 26, 1984 - June 3, 1985

THE STUART-JAMES COMPANY, INCORPORATED

BD
CRD#: 11691

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(2/7/2011)
RR
Florida
(8/23/2012)
RR
Idaho
(11/14/2012)
RR
Maine
(8/16/2010)
RR
Massachusetts
(7/8/1996)
RR
New York
(2/7/2011)
RR
Pennsylvania
(2/7/2011)
RR
Vermont
(8/18/2009)

Exams

State Security Law Exam
RR
Series 63
Date: 8/11/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/4/1995
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NC
NORTHERN CAPITAL SECURITIES CORPORATION
NORTHERN CAPITAL SECURITIES CORPORATION | SCOTT, STARR SECURITIES, INC.

CRD#: 40659 / SEC#: , 8-49130

Massachusetts
Registered Investment Advisory firm - SEC (2/6/2017 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
50 High Street 4th Floor, North Andover, MA 01845
Mailing Address
50 High Street 4th Floor, North Andover, MA 01845
Phone number
(978) 289-1000
Established
Massachusetts since 02/16/1996
Firm type
Corporation
Fiscal year end
October
Firm Size
Small
# of Employees
15

FINRA licenses (25 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
OLDAKER, DAVID GRANTCHIEF EXECUTIVE OFFICER2606043
OLDAKER, DAVID GRANTCHIEF COMPLIANCE OFFICER2606043
RYE, STEPHEN GILBERTPRESIDENT2127156

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

NORTHERN CAPITAL SECURITIES CORPORATION

CRD#: 40659North Andover, MA 01845

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