Scott M. Weis
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 Michael Weis, who also goes by Scott M Weiss, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1993. Scott had worked at 4 firms and has passed the Series 63, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 29, 2009 - January 16, 2014
FM PARTNERS HOLDINGS LLC
July 1, 1998 - June 1, 2009
COWEN AND COMPANY
January 21, 1995 - July 1, 1998
FINANCIAL SQUARE PARTNERS
May 14, 1993 - January 10, 1995
MESIROW FINANCIAL, INC.
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
FM PARTNERS HOLDINGS LLC
CRD#: 134736 / SEC#: , 8-66861
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LMDC HOLDINGS LLC | MANAGING MEMBER | |
| ROSENBERG, WILLIAM BRUCE | CEO, CFO, COO, CCO | 1722850 |
Disclosures
| Regulatory Event | 15 |
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.
