Scott L. Mathis
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 Lee Mathis, who also goes by Scott Mathis, 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 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2004 - September 30, 2015
DPEC CAPITAL, INC.
June 8, 2000 - March 1, 2004
DPEC CAPITAL, INC.
July 24, 1998 - September 18, 2000
NATIONAL SECURITIES CORPORATION
September 5, 1995 - July 24, 1998
THE BOSTON GROUP
February 25, 1991 - August 31, 1995
GRUNTAL & CO., L.L.C.
October 29, 1990 - February 4, 1991
ALEX. BROWN & SONS INCORPORATED
September 25, 1989 - December 24, 1990
CIBC WORLD MARKETS CORP.
January 28, 1988 - October 11, 1989
LEHMAN BROTHERS INC.
January 5, 1987 - December 24, 1990
CIBC WORLD MARKETS CORP.
May 23, 1985 - January 12, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
Series 8
Date: 8/9/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
DPEC CAPITAL, INC.
CRD#: 103737 / SEC#: , 8-52230
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
| Arbitration | 4 |
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.
