Scott W. Sanders
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 William Sanders 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 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2012 - February 1, 2013
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 27, 2007 - May 6, 2011
NYLIFE DISTRIBUTORS LLC
April 1, 2004 - July 19, 2007
TRANSAMERICA CAPITAL, LLC
July 26, 2001 - April 7, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 18, 1998 - July 23, 2001
FISERV INVESTOR SERVICES, INC.
December 11, 1992 - February 18, 1998
AEGON USA SECURITIES INC.
March 16, 1992 - August 24, 1992
USF&G INVESTMENT SERVICES, 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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
