Scott W. Carothers
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 William Carothers 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 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2007 - May 1, 2007
TEXAS SECURITIES PARTNERS, INC.
July 20, 2004 - April 27, 2006
SALOMON GREY FINANCIAL CORPORATION
March 12, 2003 - July 31, 2007
LAMPOST CAPITAL, L.C.
February 27, 2003 - August 23, 2007
BLUE MOON FINANCIAL, LLC
January 2, 2001 - October 2, 2001
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 21, 1999 - January 2, 2001
JWGENESIS FINANCIAL GROUP, INC
January 4, 1999 - June 21, 1999
JWGENESIS FINANCIAL GROUP, INC
June 26, 1989 - January 4, 1999
CHATFIELD DEAN & CO., INC.
March 1, 1989 - July 5, 1989
SECURITIES USA, INC.
November 23, 1988 - March 8, 1989
KOBER FINANCIAL CORP.
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
TEXAS SECURITIES PARTNERS, INC.
CRD#: 46247 / SEC#: , 8-51349
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
