Scott H. Aschoff
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 Henry Aschoff was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1986. Scott had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 53, Series 14, Series 8, Series 27, Series 4 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 4, 2015 - May 3, 2016
KAPITALL GENERATION, LLC
August 22, 2006 - December 13, 2012
JANNEY MONTGOMERY SCOTT LLC
April 9, 1997 - January 19, 2006
HARRISDIRECT LLC
August 18, 1992 - May 14, 1997
PERSHING LLC
October 19, 1987 - August 18, 1992
FIRST CLEARING, LLC
May 22, 1986 - March 18, 1987
THE STUART-JAMES COMPANY, INCORPORATED
March 19, 1986 - May 16, 1986
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
Series 8
Date: 8/2/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
KAPITALL GENERATION, LLC
CRD#: 153157 / SEC#: , 8-68508
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
