Scott A. Delucia
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 Anthony Delucia was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1989. Scott had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2014 - October 23, 2014
BROOKVILLE CAPITAL PARTNERS
August 3, 2011 - June 4, 2013
PARTNERS CAPITAL SERVICES, INC.
June 17, 2011 - September 17, 2012
AMERICAN CAPITAL PARTNERS, LLC
August 13, 2008 - December 6, 2010
HSBC SECURITIES (USA) INC.
August 6, 2008 - December 6, 2010
HSBC SECURITIES (USA) INC.
November 15, 2004 - July 18, 2008
CHASE INVESTMENT SERVICES CORP.
October 19, 2004 - July 18, 2008
CHASE INVESTMENT SERVICES CORP.
March 6, 2002 - May 6, 2004
CITICORP INVESTMENT SERVICES
January 12, 2000 - February 13, 2002
BNY MELLON SECURITIES CORPORATION
July 30, 1998 - January 13, 2000
A. G. EDWARDS & SONS, INC.
May 12, 1995 - July 8, 1998
UBS FINANCIAL SERVICES INC.
October 26, 1994 - January 18, 1995
GRUNTAL & CO., L.L.C.
May 2, 1994 - June 22, 1994
PEAK SECURITIES CORP.
May 26, 1989 - May 21, 1992
ROYCE INVESTMENT GROUP, 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
Series 62
Date: 5/9/1989
Corporate Securities Limited Representative ExaminationCurrent Firm
BROOKVILLE CAPITAL PARTNERS
CRD#: 102380 / SEC#: , 8-52119
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANTERBURY SECURITIES HOLDINGS INC. | SOLE MEMBER | |
| IEZZONI, GABRIEL ANTHONY | CHIEF COMPLIANCE OFFICER, OPTIONS PRINCIPAL | 1243767 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 5 |
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.
