Scott J. Novack
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 Jay Novack 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 63, Series 56 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 2011 - November 28, 2012
AVATAR SECURITIES, LLC
October 1, 1998 - December 31, 1998
TEJAS SECURITIES GROUP, INC.
November 30, 1995 - October 3, 1996
RICKEL & ASSOCIATES, INC.
October 20, 1994 - December 7, 1995
GKN SECURITIES CORP.
October 13, 1994 - November 9, 1994
JOSEPHTHAL & CO., INC.
July 21, 1993 - October 27, 1994
D. BLECH & COMPANY, INCORPORATED
November 6, 1991 - July 21, 1993
REICH & CO., INC.
October 4, 1991 - November 6, 1991
COMMONWEALTH ASSOCIATES
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 56
Date: 10/31/2011
Proprietary Trader Qualification ExaminationCurrent Firm
AVATAR SECURITIES, LLC
CRD#: 147763 / SEC#: , 8-67932
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVATAR TRADING GROUP, LLC | HOLDING CO. | |
| DEETER, MISHA BODHI | MEMBER | 5132163 |
| BROWSKI, ANDREW CHARLES | CHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER | 5778834 |
| HOLLAND, RAYMOND F | CO-MANAGING MEMBER | 5509397 |
| KATHWARI, OMAR FAROOQ | CO-MANAGING MEMBER | 5509343 |
| SLOAN NOWAK, JACQUELINE LEE | FINOP/PRINCIPAL FINANCIAL OFFICER | 2717305 |
Disclosures
| Regulatory Event | 1 |
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.
