Scott L. Siemers
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 Lawrence Siemers was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1989. Scott had worked at 18 firms and has passed the Series 63, SIE, 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
April 27, 2019 - July 16, 2019
CHARLES TOWNE SECURITIES, LLC
January 31, 2013 - November 14, 2016
BRADLEY WOODS & CO. LTD.
November 16, 2010 - October 31, 2011
PIERPONT CAPITAL ADVISORS LLC
September 20, 2010 - November 9, 2010
COHEN & COMPANY CAPITAL MARKETS, LLC
November 2, 2009 - October 4, 2010
COHEN & COMPANY SECURITIES, LLC
May 13, 2009 - November 19, 2009
HFP CAPITAL MARKETS LLC
October 9, 2008 - March 13, 2009
TEJAS SECURITIES GROUP, INC.
May 24, 2006 - September 3, 2008
GUGGENHEIM SECURITIES, LLC
April 18, 2005 - June 19, 2006
AURIA SERVICES CORP.
January 14, 2005 - May 19, 2005
SAMCO FINANCIAL SERVICES, INC.
February 3, 2003 - April 7, 2005
PENSON FINANCIAL SERVICES, INC.
July 2, 2001 - February 3, 2003
SERVICE ASSET MANAGEMENT COMPANY
March 23, 2001 - June 12, 2001
IMPERIAL CAPITAL, LLC
March 24, 1999 - December 12, 2000
JPMSI
May 14, 1996 - April 24, 1998
CREDIT SUISSE SECURITIES (USA) LLC
May 12, 1993 - May 21, 1996
PERSHING LLC
December 21, 1989 - April 30, 1993
CITICORP SECURITIES, INC.
January 24, 1989 - September 1, 1989
MORGAN STANLEY DW 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
CHARLES TOWNE SECURITIES, LLC
CRD#: 172278 / SEC#: , 8-69505
Contact information
FINRA licenses (8 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
