Scott Stern
Professional summary
Scott Stern was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Scott is a previously registered financial advisor and started their career in finance in 1987. Prior to being barred, Scott had worked at 7 firms, which includes SPELMAN & CO. INC., WELLS FARGO INVESTMENTS LLC, WELLS FARGO SECURITIES LLC, PRUDENTIAL EQUITY GROUP LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, LEHMAN BROTHERS INC., E. F. HUTTON & COMPANY INC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 26, 2003 - December 31, 2004
SPELMAN & CO., INC.
November 11, 2003 - December 31, 2004
SPELMAN & CO., INC.
July 31, 2001 - October 14, 2003
WELLS FARGO INVESTMENTS, LLC
July 11, 2001 - October 14, 2003
WELLS FARGO INVESTMENTS, LLC
February 7, 2000 - July 11, 2001
WELLS FARGO SECURITIES, LLC
July 5, 1996 - February 8, 2000
PRUDENTIAL EQUITY GROUP, LLC
January 23, 1990 - July 12, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 11, 1988 - February 12, 1990
LEHMAN BROTHERS INC.
January 6, 1987 - April 11, 1988
E. F. HUTTON & COMPANY 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
Current Firm
SPELMAN & CO., INC.
CRD#: 10232 / SEC#: , 8-26811
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AIG ADVISOR GROUP, INC. | OWNER | |
| BOURDAMIS, SALLY HANSON | VICE PRESIDENT, BROKERAGE SERVICES | 1812157 |
| CANNON, JAMES RICHARD | PRESIDENT,CEO,DIRECTOR | 1755987 |
| CAPRIOTTI, JACQUELYN MARIE | VICE PRESIDENT, VISION 2020 | 1575021 |
| CAVANAUGH, MARY LOUISE | DIRECTOR | 1977110 |
| DENBY, SUSANNE MARIE | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2617514 |
| DORFMAN, KENNETH PAUL | CROP | 2460380 |
| FIELDS, INGER WILSON | FINOP | 1690043 |
| FREEMAN, BRUCE TODD | ASSOCIATE VICE PRESIDENT, MUNICIPAL PRINCIPAL | 2451499 |
| GAUGHAN, BRIDGET MARY | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY | 2691949 |
| GAUGHAN, BRIDGET MARY | DIRECTOR | 2691949 |
| KUBICA, LISA SUE | EXECUTIVE VICE PRESIDENT, SROP, MP | 1098488 |
| MCREYNOLDS, MICHAEL RONALD | ASSISTANT VICE PRESIDENT, INSURANCE | 816602 |
| PARKER, RALPH JOEL | ASSISTANT VICE PRESIDENT, INSURANCE | 2587496 |
| RADFORD, CHRISTOPHER BLAKE | SENIOR VICE PRESIDENT, NATIONAL SALES | 1564302 |
| ROTHSTEIN, STEVEN ELLIOT | DIRECTOR | 1292456 |
| ROTHSTEIN, STEVEN ELLIOT | EXECUTIVE VICE PRESIDENT, CFO/TREASURER | 1292456 |
| SONCHIK, RITA LYNN | VICE PRESIDENT, ACCOUNTING | 1865389 |
| STAUFFER, RALPH OWEN JR | VICE PRESIDENT, INFORMATION TECHNOLOGY | 3255670 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
Red Flags
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