Scott D. Schroeder
Professional summary
Scott Donovan Schroeder was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Scott is a previously registered financial advisor and started their career in finance in 1992. Prior to being barred, Scott had worked at 4 firms, which includes MILKIE/FERGUSON INVESTMENTS INC., HILLTOP SECURITIES INC., CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 12, 2004 - January 27, 2012
MILKIE/FERGUSON INVESTMENTS, INC.
October 16, 2003 - January 27, 2012
MILKIE/FERGUSON INVESTMENTS, INC.
March 9, 1995 - November 7, 2003
HILLTOP SECURITIES INC.
February 23, 1995 - November 7, 2003
HILLTOP SECURITIES INC.
July 31, 1993 - February 6, 1995
CITIGROUP GLOBAL MARKETS INC.
November 9, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Exams
Current Firm
MILKIE/FERGUSON INVESTMENTS, INC.
CRD#: 17606 / SEC#: , 8-36226
Contact information
Disclosures
| Regulatory Event | 8 |
| Civil Event | 1 |
| Arbitration | 1 |
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