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SF

Scott C. Fauver

ZANBATO SECURITIES LLC
Mountain View, CA 94043
Some features on this profile are disabled
CRD#: 1317752
SF

Professional summary

Scott Clement Fauver is a registered financial professional currently at ZANBATO SECURITIES LLC located in Mountain View, California.

Scott is registered as a RR (Registered Representative) and started their career in finance in 1984. Scott has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 10, Series 9 and Series 24 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 Clement Fauver's CRS (Customer Relationship Summary).
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

January 8, 2020 - Present

ZANBATO SECURITIES LLC

Office #1: 711 / 715 N. Shoreline Blvd., Mountain View, CA 94043
BD
CRD#: 279028
Mountain View, CA
Past

June 12, 2014 - January 6, 2020

CANDLEWOOD SECURITIES, LLC

BD
CRD#: 126042
CLEVELAND, OH
Past

May 17, 2011 - November 1, 2013

ENCLAVE CAPITAL LLC

BD
CRD#: 22732
NEW YORK, NY
Past

July 29, 2010 - March 31, 2011

MUFG SECURITIES AMERICAS INC.

BD
CRD#: 19685
NEW YORK, NY
Past

June 29, 1998 - June 4, 2008

UBS SECURITIES LLC

BD
CRD#: 7654
STAMFORD, CT
Past

September 2, 1997 - June 29, 1998

SBC WARBURG DILLON READ INC.

BD
CRD#: 1650
STAMFORD, CT
Past

July 10, 1996 - September 2, 1997

SBC WARBURG, INC.

BD
CRD#: 23745
NEW YORK, NY
Past

May 6, 1993 - June 17, 1996

ROBERT FLEMING INC.

BD
CRD#: 1711
NEW YORK, NY
Past

July 10, 1990 - March 26, 1993

ING BARING (U.S.) SECURITIES, INC.

BD
CRD#: 5285
NEW YORK, NY
Past

May 30, 1989 - September 14, 1989

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
NEW YORK, NY
Past

November 21, 1984 - July 28, 1987

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613

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
(1/9/2020)
RR
Connecticut
(1/9/2020)
RR
Illinois
(4/6/2020)
RR
Massachusetts
(3/20/2020)
RR
New Jersey
(5/7/2020)
RR
New York
(1/9/2020)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/19/2017
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/27/1985
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 3
Date: 12/12/1990
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 11/17/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 9/4/2002
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 2/19/2002
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/19/1997
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

ZS
ZANBATO SECURITIES LLC
ZANBATO SECURITIES LLC

CRD#: 279028 / SEC#: , 8-69654

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
711 / 715 N. Shoreline Blvd., Mountain View, CA 94043
Mailing Address
711 / 715 N. Shoreline Blvd., Mountain View, CA 94043
Phone number
(650) 557-2333
Established
Delaware since 06/17/2015
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (41 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ZANBATO HOLDING COMPANY LLCMEMBER
FITZGERALD, HEATHERCFO4427665
RAFFERTY, MARIANNECCO1982973
SAND, KNUT NICOLAICEO6115928
WRIGHT, GREGORY LANCEPRESIDENT1564124

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

ZANBATO SECURITIES LLC

CRD#: 279028Mountain View, CA 94043

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