Scott M. Hacker
Professional summary
Scott Martin Hacker was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Scott is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, Scott had worked at 7 firms, which includes PULSE TRADING INC., SUN LIFE FINANCIAL DISTRIBUTORS INC., STRATEGIC POINT SECURITIES LLC, CITIZENS SECURITIES INC., FORESIDE FUNDS DISTRIBUTORS LLC, EXPRESS SECURITIES INCORPORATED, AMERICAN EXPRESS SERVICE CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2005 - October 30, 2007
PULSE TRADING, INC.
November 29, 2004 - October 28, 2005
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
February 25, 2004 - November 10, 2004
STRATEGIC POINT SECURITIES, LLC
August 14, 2000 - November 24, 2003
CITIZENS SECURITIES, INC.
May 1, 1995 - August 3, 2000
FORESIDE FUNDS DISTRIBUTORS LLC
April 14, 1994 - September 10, 1997
EXPRESS SECURITIES, INCORPORATED
June 25, 1990 - January 6, 1993
AMERICAN EXPRESS SERVICE CORPORATION
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 8
Date: 1/6/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PULSE TRADING, INC.
CRD#: 104022 / SEC#: , 8-52482
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE STREET CORPORATION | PARENT CORPORATION | |
| BONN, NICHOLAS JOHN | DIRECTOR | 2231387 |
| DUBOIS, CHRISTIAN ARTHUR | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2391020 |
| FAIRWEATHER, HOWARD H | DIRECTOR | 3242345 |
| FOLEY, BRIAN THOMAS | CFO - FINOP | 2647976 |
| GAVELL, STEFAN MICHEL | DIRECTOR | 4514326 |
| LEWIS, CLIFFORD MORSE | DIRECTOR | 6002051 |
| MARTEL, LAWRENCE GILBERT | CHIEF COMPLIANCE OFFICER | 2177025 |
| SULLIVAN, JOHN WALLACE | MANAGING DIRECTOR | 2417280 |
| WOODARD, RONALD BRYAN | DIRECTOR | 5037771 |
Disclosures
| Regulatory Event | 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.
