Scott G. Vandett
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 Greggory Vandett was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1987. Scott had worked at 14 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 1999 - July 11, 2000
WEATHERLY SECURITIES CORPORATION
April 30, 1999 - October 19, 1999
TASIN & COMPANY, INC.
February 25, 1998 - October 29, 1998
THE MINNEAPOLIS COMPANY, INC.
February 18, 1998 - May 22, 1998
ABBEY-ASHFORD SECURITIES, INC.
August 12, 1997 - January 6, 1998
GLOBAL EQUITIES GROUP INC
June 16, 1997 - July 23, 1997
CELADON FINANCIAL GROUP LLC
May 20, 1997 - June 17, 1997
PATTERSON TRAVIS, INC.
December 24, 1996 - May 20, 1997
THE HAMILTON-SHEA GROUP, INC.
September 25, 1996 - December 16, 1996
LANDMARK INTERNATIONAL EQUITIES
December 11, 1992 - August 30, 1996
H G I
July 15, 1992 - November 18, 1992
THE WELLINGTON GROUP, INC.
May 4, 1990 - December 20, 1990
D. H. BLAIR & CO., INC.
November 30, 1987 - May 16, 1990
LEHMAN BROTHERS INC.
September 17, 1987 - December 23, 1987
L. F. ROTHSCHILD & CO. INCORPORATED
May 7, 1987 - May 16, 1990
LEHMAN 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
Current Firm
WEATHERLY SECURITIES CORPORATION
CRD#: 11081 / SEC#: , 8-29003
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEATHERLY INTERNATIONAL, PLC | HOLDING COMPANY | |
| GEORGE, KENNETH RONALD | FINOP | |
| MARKS, KENNETH RYAN | VICE CHAIRMAN | 4479881 |
| MCKIERNAN, THOMAS ANTHONY | DIRECTOR OF OPERATIONS | |
| NAJARIAN, JACK GEORGE | CEO / CHAIRMAN | 2883669 |
| ODENTHAL, WILLIAM JOHN | CHIEF OPERATING OFFICER / PRESIDENT | 1345266 |
| SIERRA, JOE | BRANCH MANAGER / CHIEF ADMINISTRATIVE OFFICER | 1947654 |
| VITALE, ANTHONY VINCENT | HEAD OF TRADING | 2623131 |
| WARD, MICHAEL DAVID | MSRP - BOND PRINCIPAL | 1425173 |
| WILSON, JOHN JAMES | DIRECTOR OF COMPLIANCE |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 2 |
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.
