Scott Sawyer Lisle
Professional Summary
Scott Sawyer Lisle is a registered financial advisor currently at BROWN, LISLE/CUMMINGS, INC. located in Providence, Rhode Island. Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Scott has worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
34 years in the financial services industry
Current & Past Employments
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Current Firm
BROWN, LISLE & MARSHALL, INCORPORATED | BROWN, LISLE/CUMMINGS, INC. | BROWN, LISLE/CUMMINGS, INC
Contact Information
Main Address
56 Exchange Terrace Suite 300 Suite 300, Providence, RI 02903-1772Mailing Address
56 Exchange Ter Ste 300, Providence, RI 02903-1772Phone Number
(401) 421-8900Established
Rhode Island since 12/13/1965Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
13SEC notice filing (13 States and Territories)
Registered to provide investment advisory services in 13 US states and territories.
FINRA licenses (35 States and Territories)
Registered to provide investment advisory services in 13 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IZZI, DAVID ANTHONY | PRESIDENT; SECRETARY; TREASURER; CHIEF COMPLIANCE OFFICER | 2027961 |
| LISLE, SCOTT SAWYER | VICE PRESIDENT | 2220388 |
| MARGINSON, JOHN ARTHUR | VICE PRESIDENT | 860727 |
| MCGINN, JOSEPH HUGH JR | VICE PRESIDENT | 2354164 |
| MURPHY, LOUIS GEORGE JR | VICE PRESIDENT | 1162141 |
| TRACY, CLIFFORD BURRELL JR | VICE PRESIDENT | 1213468 |
Regulatory Assets Under Management
Total Number of Accounts
490AUM (Assets Under Management)
$487,318,974Disclosures
Regulatory Event
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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.
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Primary Firm SEC Registration
BROWN, LISLE & MARSHALL, INCORPORATED | BROWN, LISLE/CUMMINGS, INC. | BROWN, LISLE/CUMMINGS, INC
State Registrations and Notice Filings
(11/18/2021)
(5/27/2005)
(8/1/2022)
(5/27/2005)
(11/18/2021)
(11/14/2008)
(6/23/2014)
(10/1/2020)
(11/20/2009)
(11/14/2008)
(5/27/2005)
(5/18/2006)
(4/24/2007)
(5/27/2005)
(5/1/2019)
(5/27/2005)
(12/1/2008)
(5/27/2005)
(5/27/2005)
(10/11/2005)
(5/27/2005)
(11/10/2006)
(9/13/2010)
(1/9/2007)
(11/14/2008)
(3/13/2024)
(6/26/2018)
(6/13/2005)
(5/27/2005)
(5/27/2005)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Apr 1992About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Scott Sawyer Lisle's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Scott Sawyer Lisle's CRS (Customer Relationship Summary).
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