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Scot Lyle Mccormick

CRD# 1446132·Registered 1985 - 2020
Previously Registered: Being a previously registered professional could mean that Scot 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

Scot Lyle Mccormick, who also goes by Scot L Mccormick, Scot Mccormick, was a registered financial advisor. Scot was a previously registered financial professional and started their career in finance 1985 - 2020. Scot had worked at 5 firms and has passed the Series 66, Series 63 and Series 7 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

Scot L Mccormick, Scot Mccormick

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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

31 years in the financial services industry

Current & Past Employments

SCOT MCCORMICK LLC·CRD# 146056
RIA
Cape Coral, FL
May 15, 2015 - February 3, 2020
ADAGIO CAPITAL MANAGEMENT, LLC·CRD# 122612
RIA
Reno, NV
October 19, 2005 - June 30, 2009
WELLS FARGO INVESTMENTS, LLC·CRD# 10582
RIA
Reno, NV
May 22, 2003 - May 4, 2005
WELLS FARGO INVESTMENTS, LLC·CRD# 10582
BD
San Francisco, CA
April 25, 2003 - May 4, 2005
WELLS FARGO SECURITIES INC.·CRD# 17438
BD
San Francisco, CA
May 28, 1997 - June 29, 1998
DOMIK CORP.·CRD# 223
BD
December 17, 1985 - August 14, 1987

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Current Firm

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SCOT MCCORMICK LLC

SCOT MCCORMICK LLC

CRD#: 146056 / SEC#: 801-68709

Contact Information

Main Address

Cape Coral, FL

Documents

Latest Form ADV

Part 2 Brochures

SCOT MCCORMICK LLC BROCHURE 2020 (1/14/2020)

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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 66 — Uniform Combined State Law Examination

Passed May 2003About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed May 1997About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Apr 2003About the Series 7 exam

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CRS (Client Relationship Summary)

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

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