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Scott Brandon Livingston

LIVINGSTON SECURITIES
Uniondale, NY
·CRD# 1996617·37 years experience

Professional Summary

Scott Brandon Livingston is a registered financial advisor currently at LIVINGSTON SECURITIES, LLC located in Uniondale, New York. Scott is registered as a RR (Registered Representative) and started their career in finance in 1989. Scott has worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, Series 79TO, Series 57TO, SIE, Series 87, Series 55, Series 7, Series 27, Series 4, Series 53 and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

37 years in the financial services industry

Current & Past Employments

LIVINGSTON SECURITIES, LLC·CRD# 147364
BD
1. 626 Rexcorp Plaza Suite 603. West Tower, Uniondale, NY 115562. 626 Rexcorp Plaza Suite 603, West Tower, Uniondale, NY 11556
October 9, 2008 - Present
AXIOM CAPITAL MANAGEMENT, INC.·CRD# 26580
BD
New York, NY
May 20, 2005 - April 9, 2009
LEHMAN BROTHERS INC.·CRD# 7506
BD
New York, NY
October 13, 2000 - June 1, 2005
COWEN AND COMPANY·CRD# 7616
BD
New York, NY
July 1, 1998 - October 17, 2000
FINANCIAL SQUARE PARTNERS·CRD# 1541
BD
New York, NY
January 16, 1996 - July 1, 1998
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New York, NY
July 31, 1993 - January 26, 1996
LEHMAN BROTHERS INC.·CRD# 7506
BD
New York, NY
March 16, 1992 - July 31, 1993
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New York, NY
October 25, 1989 - March 24, 1992

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Current Firm

LS
LIVINGSTON SECURITIES, LLC

LIVINGSTON SECURITIES, LLC

CRD#: 147364 / SEC#: 8-67901
BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)

Contact Information

Main Address

626 Rexcorp Plaza Suite 603, West Tower, Uniondale, NY 11556

Mailing Address

626 Rexcorp Plaza Suite 603, West Tower, Uniondale, NY 11556

Phone Number

(212) 520-8478

Established

New York since 10/10/2006

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (38 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
THE LIVINGSTON GROUP OF COMPANIES, LLCSOLE MEMBER—
LIVINGSTON, SCOTT BRANDONMANAGER/CEO/MSP/GSP/CROP1996617
ROCKMAN, JEANNE ELIZABETHCCO/GSP1255763
SCHILLING, MICHAEL JAMESFINOP, POO, PFO2609624

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Alabama
(4/9/2009)
RR
Arkansas
(4/17/2009)
RR
California
(1/20/2009)
RR
Colorado
(5/18/2009)
RR
Connecticut
(4/17/2009)
RR
Delaware
(1/15/2009)
RR
District of Columbia
(4/30/2009)
RR
Florida
(6/24/2009)
RR
Georgia
(5/18/2009)
RR
Illinois
(4/27/2009)
RR
Indiana
(4/17/2009)
RR
Kansas
(4/17/2009)
RR
Kentucky
(4/17/2009)
RR
Louisiana
(2/7/2011)
RR
Maryland
(1/22/2009)
RR
Massachusetts
(4/17/2009)
RR
Michigan
(4/17/2009)
RR
Minnesota
(4/17/2009)
RR
Missouri
(4/17/2009)
RR
New Jersey
(3/10/2009)
RR
New York
(10/15/2008)
RR
North Carolina
(4/27/2009)
RR
Ohio
(4/20/2009)
RR
Oregon
(7/2/2009)
RR
Pennsylvania
(4/17/2009)
RR
Texas
(2/19/2009)
RR
Utah
(8/8/2014)
RR
Virginia
(5/12/2009)
RR
Washington
(1/9/2009)
RR
Wisconsin
(8/11/2009)
RR
Wyoming
(1/9/2012)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Feb 2006About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 1989About the Series 63 exam

Series 52TO — Municipal Securities Representative Examination

Passed Sep 2025About the Series 52TO exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

Series 79TO — Investment Banking Registered Representative Examination

Passed Jan 2023About the Series 79TO exam

Series 57TO — Securities Trader Exam

Passed Jan 2023About the Series 57TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 87 — Research Analyst Exam - Part II Regulations Module

Passed Jan 2010About the Series 87 exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Jan 2008

Series 7 — General Securities Representative Examination

Passed Oct 1989About the Series 7 exam

Series 27 — Financial and Operations Principal Examination

Passed Jul 2008About the Series 27 exam

Series 4 — Registered Options Principal Examination

Passed Feb 2007About the Series 4 exam

Series 53 — Municipal Securities Principal Examination

Passed Sep 2006About the Series 53 exam

Series 24 — General Securities Principal Examination

Passed Jun 2005About the Series 24 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Scott Brandon Livingston's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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SL
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