Scott B. Collister
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 Black Collister was a registered financial advisor .
Scott is a previously registered financial advisor and started their career in finance in 1985. Scott had worked at 9 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2010 - June 14, 2010
KESTRA INVESTMENT SERVICES, LLC
February 17, 2010 - June 14, 2010
KESTRA INVESTMENT SERVICES, LLC
September 2, 2009 - January 28, 2010
AVANTAX INVESTMENT SERVICES, INC.
August 25, 2009 - January 28, 2010
AVANTAX ADVISORY SERVICES
June 6, 2007 - February 20, 2008
GLOBAL ATLANTIC DISTRIBUTORS, LLC
March 23, 2004 - October 9, 2007
AMERICAN GENERAL FINANCIAL ADVISORS, INC.
February 26, 2004 - June 4, 2007
VALIC FINANCIAL ADVISORS, INC.
December 16, 2003 - June 4, 2007
VALIC FINANCIAL ADVISORS, INC.
February 21, 2002 - December 19, 2003
AVANTAX INVESTMENT SERVICES, INC.
May 8, 2000 - June 20, 2000
PRUCO SECURITIES, LLC.
June 10, 1987 - December 21, 1987
WADDELL & REED
September 26, 1985 - May 8, 1987
ARTEMIS SECURITIES, INCORPORATED
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
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
