Richard D. Scott
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.
Richard Dee Scott was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1986. Richard had worked at 6 firms and has passed the Series 63, 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
August 31, 1995 - September 30, 1997
AMERICAN INVESTMENT SERVICES, INC.
June 4, 1992 - April 11, 1995
PACIFIC WEST SECURITIES, INC.
March 27, 1991 - June 2, 1992
CETERA WEALTH SERVICES, LLC
January 17, 1990 - January 29, 1991
PACE FINANCIAL CORPORATION
July 31, 1987 - February 11, 1988
PFG SECURITIES, INC.
November 21, 1986 - August 4, 1987
AMERICORP 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
AMERICAN INVESTMENT SERVICES, INC.
CRD#: 21111 / SEC#: , 8-38685
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Civil Event | 1 |
| Arbitration | 14 |
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.
