Harry A. Scott
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.
Harry Arthur Scott JR, who also goes by Scotty Scott Jr, was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 1989. Harry had worked at 6 firms and has passed the Series 63, 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
November 3, 2008 - December 31, 2015
CAPE SECURITIES INC.
December 11, 2006 - November 4, 2008
RESOURCE HORIZONS GROUP LLC
March 25, 2002 - December 31, 2004
PAN-AMERICAN FINANCIAL ADVISERS
February 8, 2001 - March 5, 2002
AURA FINANCIAL SERVICES, INC.
June 6, 1989 - February 13, 2001
METROPOLITAN LIFE INSURANCE COMPANY
June 6, 1989 - February 13, 2001
MSI FINANCIAL SERVICES, INC.
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
CAPE SECURITIES INC.
CRD#: 7072 / SEC#: , 8-20747
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
