Scott D. Greig
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 David Greig was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1985. Scott had worked at 6 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 2008 - February 15, 2012
HEROLD & LANTERN INVESTMENTS, INC.
April 29, 2008 - May 16, 2008
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
September 14, 2004 - March 14, 2008
SAXONY SECURITIES, INC.
September 21, 1999 - September 9, 2004
LEONARD & COMPANY
February 14, 1989 - January 1, 1993
AMERIPRISE ADVISOR SERVICES, INC.
July 23, 1985 - December 4, 1985
FORESTERS FINANCIAL SERVICES, 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
HEROLD & LANTERN INVESTMENTS, INC.
CRD#: 30996 / SEC#: , 8-45285
Contact information
FINRA licenses (51 States and Territories)
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.
