Scott C. Mccabe
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 Christopher Mccabe was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1991. Scott had worked at 8 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 25, 2016 - October 25, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 31, 2016 - October 25, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 21, 2015 - January 20, 2016
TCG SECURITIES, L.L.C.
June 16, 2014 - April 24, 2015
FORESIDE FUND SERVICES, LLC
July 10, 2013 - June 18, 2014
TCG SECURITIES, L.L.C.
January 6, 2011 - June 14, 2013
GRV SECURITIES LLC
October 6, 2006 - January 30, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 26, 2006 - January 30, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 11, 1998 - November 20, 2000
VENTURE PARTNERS CAPITAL, L.L.C.
April 14, 1994 - October 23, 1997
BROOKWOOD SECURITIES PARTNERS, LLC
July 12, 1993 - April 11, 1994
TALLWOOD ASSOCIATES, INC.
August 19, 1991 - May 4, 1993
WINTHROP SECURITIES CO., INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/15/2025 | ||
| 11/25/2024 | ||
| 08/24/2023 |
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.
