Scott C. Shay
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 Charles Shay, who also goes by Scott C Shay, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1992. Scott had worked at 7 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2000 - March 27, 2001
OAK BROOK SECURITIES CORP.
April 19, 1999 - February 11, 2000
GLOBAL CAPITAL SECURITIES CORPORATION
June 24, 1998 - April 23, 1999
FIRST LIBERTY INVESTMENT GROUP, INC.
January 30, 1997 - August 21, 1997
MEYERS POLLOCK ROBBINS, INC.
May 29, 1996 - January 22, 1997
TOLUCA PACIFIC SECURITIES CORP.
October 2, 1995 - June 20, 1996
MEYERS POLLOCK ROBBINS, INC.
May 10, 1993 - September 29, 1995
DIME SECURITIES, INC.
August 7, 1992 - April 29, 1993
GRUNTAL & CO., L.L.C.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
OAK BROOK SECURITIES CORP.
CRD#: 16886 / SEC#: , 8-34691
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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