Michael P. 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.
Michael Patrick Scott, who also goes by Mike Scott, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1992. Michael had worked at 5 firms and has passed the Series 63, SIE 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
September 30, 2011 - September 18, 2015
HOULIHAN CAPITAL, LLC
August 19, 2010 - September 27, 2011
HS & CO., INC.
April 1, 1999 - August 20, 1999
BANC ONE CAPITAL MARKETS, INC.
January 15, 1993 - April 1, 1999
BANC ONE CAPITAL MARKETS, INC.
August 12, 1992 - December 31, 1992
WOODBURY FINANCIAL 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
HOULIHAN CAPITAL, LLC
CRD#: 156028 / SEC#: , 8-68762
Contact information
FINRA licenses (10 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
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.
