Scott M. Zimmerman
Professional summary
Scott Martin Zimmerman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Scott is a previously registered financial advisor and started their career in finance in 1988. Prior to being barred, Scott had worked at 8 firms, which includes MIDSOUTH CAPITAL INC., FIRST SECURITY INVESTMENTS INC., J.P. MORGAN SECURITIES LLC, STERNE AGEE & LEACH INC., PRUDENTIAL EQUITY GROUP LLC, CITIGROUP GLOBAL MARKETS INC., THE PRUDENTIAL INSURANCE COMPANY OF AMERICA, PRUCO SECURITIES LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2001 - February 9, 2005
MIDSOUTH CAPITAL, INC.
July 12, 2001 - February 9, 2005
MIDSOUTH CAPITAL, INC.
October 10, 2000 - September 24, 2001
FIRST SECURITY INVESTMENTS, INC.
October 23, 1997 - September 27, 2000
J.P. MORGAN SECURITIES LLC
March 4, 1994 - December 1, 1997
STERNE, AGEE & LEACH, INC.
February 21, 1992 - March 9, 1994
PRUDENTIAL EQUITY GROUP, LLC
February 22, 1989 - March 6, 1992
CITIGROUP GLOBAL MARKETS INC.
July 14, 1988 - December 5, 1988
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
July 14, 1988 - December 5, 1988
PRUCO SECURITIES, 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
MIDSOUTH CAPITAL, INC.
CRD#: 35039 / SEC#: , 8-46620
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HILL, MARK DAVID | CHAIRMAN, BOARD MEMBER, AND SHAREHOLDER | 1056054 |
| CAMPBELL, CYNTHIA H | BOARD MEMBER | |
| HILL, EDWARD DAVID JR | SHAREHOLDER | |
| HILL, ROBIN | SHAREHOLDER | |
| JAMA HOLDINGS | SHAREHOLDER | |
| BATEH, RONALD JAMES | PRESIDENT, CEO, RIA CCO, BOARD MEMBER, SHAREHOLDER | 869380 |
| BRUSH, EDWARD | BOARD MEMBER | |
| MURRAY, SANDRA ANN | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 1407964 |
| ROYSTER, COLLIN HARDING | REGISTERED PRINCIPAL | 843043 |
| VOOS, VIRGINIA LAWRENCE | FINOP |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
| Bond | 2 |
Red Flags
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