Scott R. Davis
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 Robert Davis was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1987. Scott had worked at 15 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
August 11, 2016 - August 25, 2017
NORTHERN LIGHTS DISTRIBUTORS, LLC
July 8, 2016 - September 1, 2017
SWAN GLOBAL INVESTMENTS, LLC
December 19, 2012 - July 7, 2015
CALAMOS ADVISORS LLC
October 26, 2007 - December 12, 2012
CALAMOS WEALTH MANAGEMENT LLC
January 9, 2007 - October 17, 2007
CALAMOS ADVISORS LLC
January 9, 2007 - July 7, 2015
CALAMOS FINANCIAL SERVICES LLC
March 31, 2005 - December 15, 2005
BOFA ADVISORS, LLC
August 26, 2004 - March 31, 2005
COLUMBIA MANAGEMENT ADVISORS, INC.
June 21, 2004 - December 15, 2005
BOFA DISTRIBUTORS, INC.
January 1, 2003 - June 21, 2004
BACAP DISTRIBUTORS, LLC
January 14, 2002 - January 1, 2003
STEPHENS
March 22, 1999 - January 1, 2003
STEPHENS
April 25, 1996 - July 10, 1998
NICHOLAS-APPLEGATE SECURITIES LLC
January 18, 1994 - May 31, 1995
LPL FINANCIAL LLC
September 14, 1993 - January 21, 1994
AEGON USA SECURITIES INC.
September 27, 1988 - September 9, 1993
KEMPER FINANCIAL SERVICES, INC.
August 12, 1987 - August 1, 1988
NUVEEN SECURITIES, 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
NORTHERN LIGHTS DISTRIBUTORS, LLC
CRD#: 126159 / SEC#: , 8-65857
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE ULTIMUS GROUP MIDCO, LLC | SOLE MEMBER | |
| EVANS, GREGORY ASHTON | FINANCIAL OPERATIONS PRINCIPAL | 4850219 |
| GUERETTE, KEVIN | PRESIDENT | 2960114 |
| JAMES, DAVID KENNETH | MANAGER | 6998721 |
| PRESTON, STEPHEN LYNN | CHIEF COMPLIANCE OFFICER/AML OFFICER | 2217795 |
| STRAIT, WILLIAM JOHN | SECRETARY/GENERAL COUNSEL/MANAGER | 6123015 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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