Scott J. Nance
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 James Nance, who also goes by Scott Nance, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1993. Scott had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 18, 2015 - March 24, 2016
ARK GLOBAL, LLC
February 5, 2010 - March 13, 2015
COMPASS SECURITIES CORPORATION
May 11, 2005 - September 25, 2009
TRIVE NEW YORK LLC
July 2, 2002 - April 1, 2005
BOSTON PARTNERS SECURITIES, L.L.C.
May 29, 2001 - March 1, 2002
BACAP DISTRIBUTORS, LLC
April 30, 1993 - August 4, 1994
PRUDENTIAL EQUITY GROUP, LLC
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
ARK GLOBAL, LLC
CRD#: 172684 / SEC#: , 8-69520
Contact information
FINRA licenses (20 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DISTANTE, HEIDI T | LIMITED PARTNER | |
| IMPACTU INVESTMENTS LLC | MANAGEMENT COMPANY | |
| MURPHY, SANDRA POWERS | OSJ MANAGER | 2280973 |
| ANTENOR, JR, DANIEL | CHIEF OPERATIONS OFFICER | 5839052 |
| DISTANTE, STEPHEN ALFRED | CEO | 2206574 |
| PLAPP, MEGAN LYNN | FINOP, POO, PFO, CFO | 6790596 |
| THOMAS, MICHELLE DENISE | CHIEF COMPLIANCE OFFICER | 2210435 |
| TRIFILETTI, JOSEPH JOHN | PRESIDENT | 5295897 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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