Reginald U. Scantlebury
Professional summary
Reginald Upton Scantlebury, who also goes by Reginald S Brown, Reginald Upton Brown, Reginald Upton Scantlebury-brown, is a registered financial professional currently at STERN BROTHERS & CO. located in New York, New York.
Reginald is registered as a RR (Registered Representative) and started their career in finance in 1988. Reginald has worked at 15 firms and has passed the Series 63, Series 57TO, Series 79TO, Series 99TO, SIE, Series 55, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Reginald Upton Scantlebury's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 1, 2019 - Present
STERN BROTHERS & CO.
Office #1: 1270 Avenue Of The Americas Suite 724, New York, NY 10020July 6, 2018 - September 30, 2019
SAN BLAS SECURITIES LLC
February 7, 2018 - September 16, 2019
IFS SECURITIES
June 2, 2015 - March 15, 2018
CV BROKERAGE, INC
March 17, 2014 - May 18, 2015
BLAYLOCK VAN, LLC
July 6, 2012 - March 19, 2014
KOTA GLOBAL SECURITIES INC.
June 4, 2004 - July 3, 2012
JACKSON SECURITIES LLC
September 10, 2001 - June 23, 2004
ORMES CAPITAL MARKETS, INC.
December 9, 1998 - August 31, 2001
MURIEL SIEBERT & CO., LLC
January 21, 1998 - November 30, 1998
ORMES CAPITAL MARKETS, INC.
June 29, 1992 - February 24, 1994
PRYOR, COUNTS & CO., INC.
December 19, 1991 - May 29, 1992
DEUTSCHE BANK SECURITIES INC.
January 11, 1991 - December 19, 1991
JOSEPHTHAL & CO., INC.
March 19, 1990 - January 7, 1991
GLOBAL AMERICA INCORPORATED
November 28, 1989 - March 19, 1990
RODMAN & RENSHAW INC.
July 19, 1988 - December 5, 1989
LEHMAN BROTHERS 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
(10/1/2019)
(10/23/2019)
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(10/15/2019)
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(10/8/2019)
(11/14/2019)
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Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 5/1/2000
Limited Representative-Equity Trader ExamFINRA
Current Firm
STERN BROTHERS & CO.
CRD#: 16325 / SEC#: , 8-33724
Contact information
FINRA licenses (41 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEGGY P FINN REVOCABLE TRUST DTD 11-7-1996 AS AMENDED | TRUST | |
| PEGGY P. FINN 2012 TRUST DATED 12-21-2012 | TRUST | |
| CLEMENTS, DONALD SIDNEY | CHIEF TECHNOLOGY OFFICER | 4440518 |
| ESSERT, GLENN EDWARD | CHIEF COMPLIANCE OFFICER, AMLCO | 1447868 |
| FINN, PEGGY PRINCE | CHAIRMAN OF THE BOARD, DIRECTOR, CEO, SECRETARY, TRUSTEE | 730640 |
| FINN, TERRENCE MICHAEL | PRESIDENT, DIRECTOR | 1102166 |
| MIRIANI, JASON ANDREW | CFO, TREASURER | 4547660 |
| WARREN, KAREN KAY | PRINCIPAL OPERATIONS OFFICER | 1316200 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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