Scott T. Mcgraw
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 Terrance Mcgraw was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1988. Scott had worked at 9 firms and has passed the Series 65, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2011 - April 28, 2015
LOCKTON INVESTMENT ADVISORS, LLC
February 26, 2010 - April 28, 2015
LOCKTON INVESTMENT SECURITIES, LLC
March 26, 2001 - December 31, 2008
M HOLDINGS SECURITIES, INC.
January 1, 1999 - May 26, 2009
FINANCIAL DESIGNS LTD.
June 1, 1998 - April 2, 2001
CETERA ADVISORS LLC
February 18, 1992 - June 9, 1998
MUTUAL SERVICE CORPORATION
March 19, 1990 - December 31, 1991
VOYA FINANCIAL ADVISORS, INC.
February 3, 1988 - March 13, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 3, 1988 - March 13, 1990
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
LOCKTON INVESTMENT ADVISORS, LLC
CRD#: 144133 / SEC#: 801-68005
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
LOCKTON INVESTMENT ADVISORS, LLC
CRD#: 144133 / SEC#: 801-68005
Contact information
SEC notice filing (41 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
