Scott L. Middlesworth
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 Lee Middlesworth, CFP® was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1993. Scott had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 6 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
Start date: 1993
Experience
September 20, 2016 - June 6, 2018
FIRST FINANCIAL SECURITIES OF AMERICA, INC.
July 28, 1999 - December 31, 2000
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 19, 1998 - July 26, 1999
WMA SECURITIES, INC.
July 15, 1997 - January 15, 1998
PMG SECURITIES CORPORATION
February 28, 1996 - August 7, 1996
LEGEND EQUITIES CORPORATION
March 2, 1995 - January 26, 1996
SECURITIES SERVICE NETWORK, LLC
November 22, 1993 - December 31, 1994
COMMONWEALTH FINANCIAL NETWORK
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIRST FINANCIAL SECURITIES OF AMERICA, INC.
CRD#: 13642 / SEC#: , 8-29565
Contact information
FINRA licenses (28 States and Territories)
Direct owners and executive officers
Red Flags
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