Huey H. Scott
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.
Huey Harrison Scott was a registered financial professional .
Huey is a previously registered financial professional and started their career in finance in 1987. Huey had worked at 10 firms and has passed the Series 63, Series 7, Series 6 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2009 - November 15, 2012
WELLS FARGO SECURITIES, LLC
July 16, 2008 - November 6, 2009
WELLS FARGO BROKERAGE SERVICES, L.L.C.
June 15, 2006 - August 30, 2007
BOK FINANCIAL SECURITIES, INC.
August 2, 2004 - February 23, 2006
J.P. MORGAN SECURITIES INC.
April 1, 1999 - August 2, 2004
BANC ONE CAPITAL MARKETS, INC.
November 27, 1996 - April 1, 1999
BANC ONE CAPITAL MARKETS, INC.
January 7, 1991 - November 7, 1996
BANC OF AMERICA SECURITIES LLC
April 2, 1990 - January 10, 1991
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 6, 1987 - April 2, 1990
NCNB TEXAS SECURITIES, INC.
August 7, 1987 - December 11, 1987
REPUBLICBANK FINANCIAL MARKETS, 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
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
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.
