Scott H. Lipkin
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 Harris Lipkin was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1985. Scott had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2016 - November 7, 2016
TRIAD SECURITIES CORP
November 30, 2011 - March 12, 2014
UBS FINANCIAL SERVICES INC.
June 22, 1998 - June 29, 1998
SBC WARBURG DILLON READ INC.
September 10, 1992 - August 18, 2010
UBS SECURITIES LLC
February 25, 1991 - August 20, 1992
FIRST MANHATTAN SECURITIES LLC
December 3, 1990 - March 5, 1991
ABN AMRO SECURITIES LLC
February 18, 1987 - August 1, 1991
ALTMAN, BRENNER & WASSERMAN, INC.
December 17, 1985 - January 16, 1987
DEUTSCHE BANK SECURITIES INC.
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
TRIAD SECURITIES CORP
CRD#: 11363 / SEC#: , 8-20930
Contact information
FINRA licenses (42 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KEVIN M. SCHULTZ 2020 GST EXEMPT TRUST | SHAREHOLDER | |
| ARTICLE 6TH TRUST UW RICHARD SCHULTZ, JUDITH SCHULTZ TTEE | SHAREHOLDER | |
| CYNTHIA HORNIG 2011 GST EXEMPT TRUST U/D 8/10/2011 | SHAREHOLDER | |
| KEVIN SCHULTZ 2011 GST EXEMPT TRUST U/D 8/10/2011 | SHAREHOLDER | |
| FISHER, KENNETH ALAN | CEO | 4631540 |
| GOLDSMITH, LAWRENCE HARRY | DIRECTOR OF OPERATIONS/PRESIDENT | 1386783 |
| HOEHLER, TIMOTHY WILLIAM | CHIEF COMPLIANCE OFFICER | 2176769 |
| HORNIG, CYNTHIA | TRUSTEE-CYNTHIA HORNIG TRUST | 5989716 |
| LINDEN, ARTHUR AARON | SECRETARY/TREASURER | 1230452 |
| ROTHENBERG, SHARI P | FINOP/POO | 6590875 |
| SCHULTZ, JUDITH | TRUSTEE-ARTICLE 6TH TRUST | 6041541 |
| SCHULTZ, KEVIN MATTHEW | TRUSTEE-KEVIN M. SCHULTZ 2020 GST EXEMPT TRUST | 1779792 |
| SCHULTZ, KEVIN MATTHEW | TRUSTEE-KEVIN SCHULTZ TRUST | 1779792 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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