William C. 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.
William Carey Scott, who also goes by Bill Scott, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1989. William had worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2007 - November 11, 2008
SCOTTSDALE CAPITAL ADVISORS CORP
November 17, 2003 - November 9, 2007
NEWBRIDGE SECURITIES CORPORATION
May 12, 1998 - December 9, 2002
CGS FINANCIAL INC.
June 20, 1991 - March 4, 1998
FOX & COMPANY INVESTMENTS INC.
October 6, 1989 - June 28, 1991
MASON, HUNT & CO., INC.
July 25, 1989 - September 26, 1989
B C FINANCIAL CORPORATION
April 19, 1989 - June 27, 1989
L.F. THOMPSON & COMPANY
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
SCOTTSDALE CAPITAL ADVISORS CORP
CRD#: 118786 / SEC#: 801-60965, 8-53685
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 6 |
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.
