William V. Scott
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.
William Virgil Scott III, who also goes by Bill Scott, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1992. William had worked at 15 firms and has passed the Series 65, Series 63, Series 7, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 2017 - December 31, 2020
WILLIAM V. SCOTT, INVESTMENT ADVISOR
February 4, 2013 - December 31, 2016
WILLIAM V. SCOTT, INVESTMENT ADVISOR
April 28, 2009 - February 11, 2011
QA3 FINANCIAL LLC
April 27, 2009 - February 11, 2011
QA3 FINANCIAL CORP.
December 9, 2005 - May 1, 2009
NEXCORE FINANCIAL SERVICES, INCORPORATED
September 16, 2004 - June 4, 2009
ORION PORTFOLIO SOLUTIONS, LLC
September 9, 2004 - December 31, 2007
MCINTYRE FINANCIAL ADVISERS, LLC
July 6, 2004 - May 1, 2009
NEXCORE CAPITAL, INC.
April 18, 2000 - July 2, 2004
NATIONAL PLANNING CORPORATION
March 23, 2000 - July 2, 2004
NATIONAL PLANNING CORPORATION
July 16, 1999 - April 26, 2000
ASSET PLANNING SOLUTIONS, INC.
September 18, 1997 - October 6, 1999
FIRST ALLIED SECURITIES, INC.
August 27, 1997 - September 18, 1997
FIRST ALLIED SECURITIES, INC.
April 21, 1993 - September 3, 1997
PIM FINANCIAL SERVICES, INC.
October 15, 1992 - January 7, 1993
IDS LIFE INSURANCE COMPANY
October 15, 1992 - January 7, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
July 7, 1992 - December 31, 1992
WS GRIFFITH SECURITIES, INC.
April 10, 1992 - June 3, 1992
CHATFIELD DEAN & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WILLIAM V. SCOTT, INVESTMENT ADVISOR
CRD#: 165328 / SEC#:
Contact information
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.
