Stuart F. 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.
Stuart Francis Scott was a registered financial professional .
Stuart is a previously registered financial professional and started their career in finance in 1986. Stuart had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4, Series 53 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
January 12, 2016 - March 22, 2016
KESTRA INVESTMENT SERVICES, LLC
January 8, 2016 - November 13, 2017
KESTRA INVESTMENT SERVICES, LLC
October 20, 2009 - July 28, 2014
SEASIDE CAPITAL MANAGEMENT, INC.
July 2, 2009 - October 30, 2015
INTERNATIONAL ASSETS ADVISORY, LLC
May 14, 2009 - July 8, 2009
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
February 12, 2009 - March 25, 2009
SEASIDE CAPITAL MANAGEMENT, INC.
December 14, 2006 - July 8, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 13, 2006 - July 8, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 25, 1996 - September 8, 2006
TRUIST INVESTMENT SERVICES, INC.
October 19, 1995 - September 8, 2006
TRUIST INVESTMENT SERVICES, INC.
January 1, 1990 - December 19, 1994
TRUIST INVESTMENT SERVICES, INC.
September 12, 1988 - May 25, 1990
FLORIDA NATIONAL INVESTMENT SERVICES, INC.
September 26, 1986 - September 2, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
