Scott Beard
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 Beard, who also goes by Scott Robert Beard, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1970. Scott had worked at 29 firms and has passed the Series 65, Series 63, SIE, PC, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2020 - November 19, 2020
CARTER, TERRY & COMPANY, INC.
January 15, 2020 - November 19, 2020
CARTER, TERRY & COMPANY, INC.
February 9, 2018 - October 3, 2018
PEACHCAP TAX & ADVISORY, LLC
February 8, 2018 - August 2, 2019
PEACHCAP SECURITIES, INC.
December 1, 2017 - January 24, 2018
AMERICAN WEALTH MANAGEMENT, INC.
October 12, 2017 - January 24, 2018
AMERICAN WEALTH MANAGEMENT, INC.
May 28, 2013 - January 27, 2016
RAYMOND JAMES & ASSOCIATES, INC.
May 7, 2013 - January 27, 2016
RAYMOND JAMES & ASSOCIATES, INC.
October 18, 2010 - April 16, 2013
YIELDQUEST ADVISORS, LLC
October 12, 2010 - April 16, 2013
YIELDQUEST SECURITIES, LLC
August 26, 2009 - October 11, 2010
AMERICAN WEALTH MANAGEMENT, INC.
August 20, 2009 - October 11, 2010
AMERICAN WEALTH MANAGEMENT, INC.
January 23, 2006 - August 18, 2009
YIELDQUEST ADVISORS, LLC
January 19, 2006 - August 18, 2009
YIELDQUEST SECURITIES, LLC
February 28, 2005 - January 4, 2006
AMERICAN WEALTH MANAGEMENT, INC.
February 28, 2005 - January 4, 2006
AMERICAN WEALTH MANAGEMENT, INC.
October 20, 2004 - February 9, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - February 9, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 18, 2004 - October 20, 2004
QUICK & REILLY, INC.
April 6, 2004 - October 20, 2004
QUICK & REILLY, INC.
August 15, 2003 - August 12, 2004
AMERICAN WEALTH MANAGEMENT, INC.
January 18, 2000 - August 21, 2003
KEYBANC CAPITAL MARKETS INC.
February 9, 1998 - February 8, 2000
J.C. BRADFORD & CO.
January 5, 1995 - February 27, 1998
RAYMOND JAMES & ASSOCIATES, INC.
December 14, 1994 - February 27, 1998
RAYMOND JAMES & ASSOCIATES, INC.
June 3, 1994 - January 16, 1995
UBS FINANCIAL SERVICES INC.
April 24, 1992 - June 21, 1994
RAYMOND JAMES & ASSOCIATES, INC.
March 1, 1990 - April 29, 1992
WACHOVIA SECURITIES, INC.
February 25, 1988 - April 29, 1992
WACHOVIA SECURITIES, INC.
November 27, 1987 - February 17, 1988
LEHMAN BROTHERS INC.
April 14, 1987 - January 27, 1990
J.P. MORGAN SECURITIES LLC
April 7, 1986 - May 1, 1987
LEHMAN BROTHERS INC.
February 20, 1986 - April 1, 1986
CITIGROUP GLOBAL MARKETS INC.
November 5, 1984 - February 7, 1986
ALEX. BROWN & SONS INCORPORATED
September 20, 1984 - October 10, 1984
CIBC WORLD MARKETS CORP.
July 12, 1983 - June 30, 1983
WARBURG PARIBAS BECKER INCORPORATED
June 14, 1983 - September 28, 1984
BECKER PARIBAS INCORPORATED
February 25, 1983 - July 5, 1983
DREXEL BURNHAM LAMBERT INCORPORATED
June 27, 1979 - March 9, 1983
LEHMAN BROTHERS KUHN LOEB INCORPORATED
March 7, 1979 - June 21, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 22, 1978 - February 10, 1979
LEHMAN BROTHERS KUHN LOEB INCORPORATED
November 4, 1976 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
February 18, 1976 - October 7, 1976
KIDDER, PEABODY & CO., INCORPORATED
July 11, 1975 - April 18, 1976
BACHE & CO INCORPORATED
May 30, 1975 - August 5, 1975
CITIGROUP GLOBAL MARKETS INC.
March 12, 1973 - November 16, 1973
DUPONT WALSTON, INCORPORATED
June 27, 1972 - March 12, 1973
STONE & WEBSTER SECURITIES CORPORATION
October 19, 1971 - July 21, 1972
DUPONT WALSTON, INCORPORATED
February 9, 1971 - October 23, 1971
CITIGROUP GLOBAL MARKETS INC.
October 1, 1970 - April 5, 1971
SCOTT R. BEARD COMPANY
Primary Firm SEC Registration
CARTER, TERRY & COMPANY, INC.
CRD#: 16365 / SEC#: 801-113129, 8-33797
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
PC
Date: 9/25/1986
AMEX Put and Call ExamSeries 1
Date: 5/23/1961
Registered Representative ExaminationSeries 00
Date: 8/14/1970
General Securities Principal ExaminationCurrent Firm
CARTER, TERRY & COMPANY, INC.
CRD#: 16365 / SEC#: 801-113129, 8-33797
Contact information
SEC notice filing (12 States and Territories)
FINRA licenses (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 185 |
| AUM (Assets Under Management) | $ 111,326,459 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 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.
