Scott Verch
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 Verch, who also goes by Scott Barry Verch, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1993. Scott had worked at 10 firms and has passed the Series 63, Series 79TO, Series 52TO, 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
May 15, 2024 - December 9, 2024
FHN FINANCIAL SECURITIES CORP.
February 13, 2019 - January 5, 2024
TD SECURITIES (USA) LLC
November 8, 2010 - March 1, 2018
U.S. BANCORP INVESTMENTS, INC.
December 14, 2009 - October 1, 2010
STONE & YOUNGBERG LLC
March 12, 2009 - July 10, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 17, 2007 - July 10, 2009
BANC OF AMERICA SECURITIES LLC
April 5, 2004 - August 20, 2007
MORGAN STANLEY & CO. LLC
June 24, 1998 - March 31, 2004
J.P. MORGAN SECURITIES INC.
September 29, 1995 - March 6, 1997
J.P. MORGAN SECURITIES INC.
May 19, 1995 - September 12, 1995
FIELDSTONE PRIVATE CAPITAL GROUP, L.P.
January 5, 1993 - March 1, 1995
PERSHING LLC
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
FHN FINANCIAL SECURITIES CORP.
CRD#: 46346 / SEC#: , 8-51393
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST HORIZON BANK | SHAREHOLDER | |
| BUCK, WILLIAM JAMES II | PRINCIPAL OPERATING OFFICER | 3129662 |
| DABROWSKI, MARK GERARD | CHIEF COMPLIANCE OFFICER | 2065647 |
| GRIFFIN, MARK DANIEL | SVP, RISK CONTROL MANAGER | 7462222 |
| JACKSON, JEFF BRIAN | SVP/ TRADING MANAGER | 2777631 |
| RITCHESON, DONALD ALLEN | PRINCIPAL FINANCIAL OFFICER / CFO | 2360009 |
| ROMANOW, TIMOTHY MARK | PRESIDENT/CEO | 2533445 |
| WADDELL, MICHAEL KNOX | EVP, DIRECTOR / CHIEF ADMINISTRATIVE OFFICER/SECRETARY | 5657529 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
