Scott G. Klag
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 George Klag, who also goes by Scott G Klag, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1988. Scott had worked at 17 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2008 - December 31, 2012
LIFEMARK SECURITIES CORP.
August 15, 2007 - September 18, 2008
MSI FINANCIAL SERVICES, INC.
September 8, 2003 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
September 8, 2003 - September 18, 2008
MSI FINANCIAL SERVICES, INC.
May 9, 2001 - March 26, 2003
AMERICAN GENERAL SECURITIES INCORPORATED
October 26, 2000 - April 12, 2001
USALLIANZ SECURITIES, INC.
May 13, 1999 - February 16, 2000
COMPULIFE INVESTOR SERVICES, INC.
January 26, 1999 - May 3, 1999
CONSECO SECURITIES, INC.
January 14, 1999 - January 25, 1999
LOCUST STREET SECURITIES, INC.
July 1, 1997 - March 26, 1998
MM ASCEND LIFE INVESTOR SERVICES, LLC
September 5, 1996 - July 11, 1997
DENMARK INVESTMENT SERVICES, INC.
March 6, 1996 - September 13, 1996
ALLSTATE FINANCIAL SERVICES, LLC
October 11, 1995 - February 21, 1996
AMFIN INVESTMENT SERVICES, INC.
February 4, 1994 - October 17, 1995
INVESTORS CAPITAL CORP.
October 7, 1992 - January 20, 1994
COMPULIFE INVESTOR SERVICES, INC.
August 1, 1991 - January 9, 1992
IFMG SECURITIES, INC.
May 22, 1990 - August 1, 1991
PAMCO SECURITIES AND INSURANCE SERVICES
September 12, 1989 - May 10, 1990
UBS FINANCIAL SERVICES INC.
November 23, 1988 - September 23, 1989
EDWARD JONES
Primary Firm SEC Registration
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
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
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
Contact information
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory assets under management
| Total Number of Accounts | 2,021 |
| AUM (Assets Under Management) | $ 461,475,636 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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.
