Scott E. Livingston
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 Ernest Livingston was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1992. Scott had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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 11, 2021 - November 5, 2021
TRIAD INVESTMENT MANAGEMENT
July 20, 2018 - December 31, 2020
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
July 20, 2018 - December 31, 2020
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
June 17, 2009 - July 20, 2018
KMS FINANCIAL SERVICES, INC.
June 17, 2009 - July 20, 2018
KMS FINANCIAL SERVICES, INC.
November 26, 2002 - July 16, 2010
5 POINT FINANCIAL GROUP, INC
November 1, 2002 - June 25, 2009
COMMONWEALTH FINANCIAL NETWORK
November 1, 2002 - June 25, 2009
COMMONWEALTH FINANCIAL NETWORK
February 28, 2000 - November 4, 2002
FSC SECURITIES CORPORATION
January 18, 2000 - November 4, 2002
FSC SECURITIES CORPORATION
April 8, 1999 - January 14, 2000
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 8, 1999 - January 14, 2000
OSAIC FA, INC.
December 8, 1992 - April 12, 1999
LUTHERAN BROTHERHOOD SECURITIES CORP.
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
TRIAD INVESTMENT MANAGEMENT
CRD#: 297699 / SEC#: 801-114425
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,747 |
| AUM (Assets Under Management) | $ 700,542,383 |
Red Flags
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