Scott S. Barclay
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 Stephen Barclay, who also goes by Scott S Barclay, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1992. Scott had worked at 6 firms and has passed the Series 63, Series 31 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
February 9, 1998 - November 10, 1998
PACIFIC CORTEZ SECURITIES INCORPORATED
October 31, 1996 - June 5, 1997
RODMAN & RENSHAW INC.
October 12, 1995 - November 5, 1996
DALLAS RESEARCH & TRADING, INC.
May 2, 1994 - November 3, 1995
PRUDENTIAL EQUITY GROUP, LLC
August 6, 1992 - May 2, 1994
MORGAN STANLEY DW INC.
February 17, 1992 - August 3, 1992
EDWARD JONES
State Registrations and Notice Filings
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Exams
Current Firm
PACIFIC CORTEZ SECURITIES INCORPORATED
CRD#: 24341 / SEC#: , 8-38514
Contact information
Documents
Red Flags
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