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SS

Scott T. Schaul

N.E. PRIVATE CLIENT, LTD
ATTLEBORO, MA 02703
Some features on this profile are disabled
CRD#: 2200484
SS

Professional summary

Scott Thomas Schaul is a registered financial professional currently at N.E. PRIVATE CLIENT, LTD located in Attleboro, Massachusetts.

Scott is registered as a RR (Registered Representative) and started their career in finance in 1992. Scott has worked at 9 firms and has passed the Series 65, Series 63, Series 6TO, Series 62, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Scott Thomas Schaul's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 13, 2026 - Present

N.E. PRIVATE CLIENT, LTD

Office #1: 89 N Main Street, Attleboro, MA 02703
BD
CRD#: 136058
ATTLEBORO, MA
Past

June 28, 2019 - April 13, 2026

PINNACLE INVESTMENTS, LLC

BD
CRD#: 142910
NORWOOD, MA
Past

March 22, 2010 - August 6, 2019

ESSEX SECURITIES LLC

BD
CRD#: 46605
NORWOOD, MA
Past

January 10, 2006 - July 16, 2009

OBSIDIAN FINANCIAL GROUP, LLC

BD
CRD#: 104255
WOODBURY, NY
Past

March 10, 2004 - July 15, 2004

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
LYNNFIELD, MA
Past

July 21, 1999 - January 22, 2004

CITIZENS SECURITIES, INC.

BD
CRD#: 39550
JOHNSTON, RI
Past

July 24, 1995 - July 28, 1999

GUARANTY BROKERAGE SERVICES, INC.

BD
CRD#: 23302
ST. CLOUD, MN
Past

July 31, 1993 - July 27, 1995

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

January 21, 1992 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 10/26/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/31/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/20/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/20/1998
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

NP
N.E. PRIVATE CLIENT, LTD
N.E. PRIVATE CLIENT ADVISORS, LTD. | N.E. PRIVATE CLIENT, LTD

CRD#: 136058 / SEC#: , 8-66968

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
89 N Main Street, Attleboro, MA 02703
Mailing Address
89 N Main Street, Attleboro, MA 02703
Phone number
(508) 930-8434
Established
Rhode Island since 08/20/2004
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HANSEN, MARK RICHARDCEO, FINOP, CCO2888137

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.

Company Information

N.E. PRIVATE CLIENT, LTD

CRD#: 136058Attleboro, MA 02703

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