Scott N. Ward
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 Nolan Ward, who also goes by Scott N Ward, Scott Nolan Ward, Scott Ward, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1987. Scott had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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
April 7, 2020 - January 21, 2022
COUNTRY CAPITAL MANAGEMENT COMPANY
August 22, 2019 - February 25, 2020
FARMERS FINANCIAL SOLUTIONS, LLC
May 9, 2019 - July 26, 2019
VALIC FINANCIAL ADVISORS, INC.
August 12, 2015 - March 4, 2019
SAYBRUS EQUITY SERVICES, LLC
April 27, 2015 - August 28, 2015
OSAIC FS, INC.
March 31, 2015 - April 10, 2015
OSAIC FS, INC.
March 31, 2015 - August 28, 2015
OSAIC FS, INC.
January 2, 2015 - April 22, 2015
MSI FINANCIAL SERVICES, INC.
January 2, 2015 - April 22, 2015
MSI FINANCIAL SERVICES, INC.
June 12, 2014 - January 2, 2015
NEW ENGLAND SECURITIES
February 11, 2014 - January 2, 2015
NEW ENGLAND SECURITIES
November 8, 2011 - February 18, 2014
EQUITABLE ADVISORS, LLC
July 14, 2011 - February 18, 2014
EQUITABLE ADVISORS, LLC
September 24, 2010 - June 15, 2011
NYLIFE SECURITIES LLC
July 30, 2010 - August 4, 2010
SIGNATOR INVESTORS, INC.
January 24, 2005 - December 2, 2005
CRI SECURITIES, LLC
May 11, 2000 - December 2, 2005
SECURIAN FINANCIAL SERVICES, INC.
July 26, 1999 - April 28, 2000
MML INVESTORS SERVICES, LLC
January 12, 1999 - April 29, 1999
MONY SECURITIES CORPORATION
September 9, 1993 - November 18, 1994
CARILLON INVESTMENTS, INC.
December 18, 1991 - July 14, 1993
CARILLON INVESTMENTS, INC.
May 29, 1991 - December 9, 1991
HORNOR, TOWNSEND & KENT, LLC
May 18, 1990 - May 28, 1991
NEW ENGLAND SECURITIES
May 13, 1987 - January 2, 1988
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
May 13, 1987 - March 28, 1989
MML INVESTORS SERVICES, LLC
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
COUNTRY CAPITAL MANAGEMENT COMPANY
CRD#: 12060 / SEC#: , 8-12645
Contact information
FINRA licenses (31 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COUNTRY LIFE INSURANCE COMPANY | SHAREHOLDER | |
| BULL, DAVID B | PRINCIPAL OPERATIONS OFFICER | 5287948 |
| DARMSTAEDTER, GEOFFREY FREDERICK | CHIEF COMPLIANCE OFFICER & ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 5709185 |
| DODDS, ALAN KEITH | VICE PRESIDENT - FINANCE & TREASURER | 5660784 |
| DUNCAN, BRIAN KEITH | CHAIRMAN OF THE BOARD & DIRECTOR | 6904912 |
| ELLERMAN, DOUGLAS JOSEPH | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER | 6096851 |
| FLETCHER, JEREMIAH DEAN | CHIEF INFORMATION SECURITY OFFICER | 6970583 |
| FRERICHS, TROY MITCHELL | CEO, EXECUTIVE REPRESENTATIVE | 4133454 |
| GREEN, DENNIS WAYNE | DIRECTOR | 6904908 |
| HARRIS, TIMOTHY JOHN | EXECUTIVE VICE PRESIDENT OF AGENCY | 3155020 |
| MEISS, DAVID LEE | DIRECTOR | 6904884 |
| SCHUTZ, CHAD KENNETH | DIRECTOR | 6904905 |
| VANCE, JENNIFER LYNN | GENERAL COUNSEL, SECRETARY & CHIEF LEGAL OFFICER | 7040592 |
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.
