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Scott Alan Hyde

CRD# 1371358·Registered 1985 - 2016
Previously Registered: Being a previously registered professional could mean that Scott 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.

Professional Summary

Scott Alan Hyde was a registered financial advisor. Scott was a previously registered financial professional and started their career in finance 1985 - 2016. Scott had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 53 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

41 years in the financial services industry

Current & Past Employments

IMS SECURITIES, INC.·CRD# 35567
BD
Houston, TX
July 10, 2002 - August 23, 2016
M. J. WHITMAN, INC.·CRD# 27870
BD
New York, NY
April 14, 1997 - July 11, 2002
CANTELLA & CO., INC.·CRD# 13905
BD
Malden, MA
April 5, 1995 - May 1, 1997
PHOENIX GOVERNMENT INVESTMENTS, INC.·CRD# 34706
BD
October 20, 1993 - March 15, 1995
DESHLER-MORRIS SECURITIES, INC.·CRD# 25622
BD
Houston, TX
June 22, 1992 - January 1, 1994
VANGUARD PORTFOLIOS, INC.·CRD# 15366
BD
May 22, 1985 - June 27, 1985

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Current Firm

IS
IMS SECURITIES, INC.

IMS INSURANCE AGENCY OF TEXAS, INC. | IMS SECURITIES, INC.DBA IMS FINANCIAL ADVISORS, INC | IMS SECURITIES, INC. | IMS INSURANCE AGENCY, INC.

CRD#: 35567 / SEC#: 8-46722
BD
Terminated by SEC on 01/29/2018

Contact Information

Established

Texas since 10/04/1993

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
WADSWORTH, JACKIE DIVONOCHIEF EXECUTIVE OFFICER, COMPLIANCE OFFICER2342163
GAMMON, CHRISTOPHER DAVIDCHIEF FINANCIAL OFFICER, VP-OPTIONS2354523
SPEARS, MICHAEL JCHIEF COMPLIANCE OFFICER4501523

Disclosures

Regulatory Event

7

Arbitration

6

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1992About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Aug 2016About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jun 1992About the Series 7 exam

Series 22 — Direct Participation Programs Representative Examination

Passed May 1985About the Series 22 exam

Series 53 — Municipal Securities Principal Examination

Passed Nov 1993About the Series 53 exam

Series 24 — General Securities Principal Examination

Passed Jun 1992About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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