Roland 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.
Roland Scott was a registered financial professional .
Roland is a previously registered financial professional and started their career in finance in 1997. Roland had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 2012 - April 24, 2018
WELLS FARGO CLEARING SERVICES, LLC
June 25, 2012 - April 24, 2018
WELLS FARGO CLEARING SERVICES, LLC
December 17, 2007 - July 6, 2012
TRUIST INVESTMENT SERVICES, INC.
December 17, 2007 - July 6, 2012
TRUIST INVESTMENT SERVICES, INC.
October 11, 2006 - December 10, 2007
BI INVESTMENTS, LLC
October 11, 2006 - December 10, 2007
BI INVESTMENTS, LLC
December 5, 2005 - August 7, 2006
BB&T INVESTMENT SERVICES, INC.
November 15, 2005 - August 7, 2006
BB&T INVESTMENT SERVICES, INC.
October 21, 2003 - May 7, 2004
SSN ADVISORY, INC.
October 16, 2003 - May 7, 2004
SECURITIES SERVICE NETWORK, LLC
September 5, 2002 - October 16, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 28, 2002 - October 16, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 5, 2001 - September 5, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
February 27, 2001 - September 5, 2002
IDS LIFE INSURANCE COMPANY
February 27, 2001 - September 5, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
September 22, 1997 - February 21, 2001
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 9, 1997 - September 24, 1997
METROPOLITAN LIFE INSURANCE COMPANY
May 9, 1997 - September 24, 1997
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
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 CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 182 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
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.
