Scott C. Kovalik
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 Carl Kovalik was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1988. Scott had worked at 6 firms and has passed the Series 63, Series 99TO, Series 57TO, Series 79TO, SIE, Series 55, Series 7 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 31, 2011 - September 27, 2024
BAYRIDGE SECURITIES, LLC
December 6, 2002 - September 27, 2024
BTIG, LLC
May 23, 2002 - February 10, 2003
WILLIAMS TRADING LLC
October 1, 1997 - May 1, 2002
BANC OF AMERICA SECURITIES LLC
February 26, 1990 - October 1, 1997
MONTGOMERY SECURITIES
December 20, 1988 - January 24, 1990
SALOMON BROTHERS 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 11/6/2002
Limited Representative-Equity Trader ExamCurrent Firm
BAYRIDGE SECURITIES, LLC
CRD#: 155765 / SEC#: , 8-68739
Contact information
FINRA licenses (2 States and Territories)
Documents
Red Flags
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