Scotty D. Cook
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.
Scotty Dell Cook, who also goes by Scott Dell Cook, was a registered financial professional .
Scotty is a previously registered financial professional and started their career in finance in 1986. Scotty had worked at 5 firms and has passed the Series 65, 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
February 14, 1997 - July 15, 2004
FOUNDERS EQUITY SECURITIES INC.
April 22, 1993 - June 30, 1997
FIRST SOUTHWEST COMPANY, LLC
March 14, 1990 - April 5, 1993
KIDDER, PEABODY & CO. INCORPORATED
November 9, 1987 - March 21, 1990
J.P. MORGAN SECURITIES LLC
August 21, 1986 - November 23, 1987
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FOUNDERS EQUITY SECURITIES INC.
CRD#: 41855 / SEC#: , 8-49599
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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