SY
Scott C. Yerardi
AQR INVESTMENTS
Amesbury, MA 01913
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CRD#: 2297364
SY
Professional summary
Scott Christopher Yerardi, CIMA® is a registered financial professional currently at AQR INVESTMENTS, LLC located in Amesbury, Massachusetts.
Scott is registered as a RR (Registered Representative) and started their career in finance in 1993. Scott has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 6, Series 30 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Scott Christopher Yerardi's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
January 7, 2019 - Present
AQR INVESTMENTS, LLC
Office #1: 6 Chestnut Street Unit #200, Amesbury, MA 01913BD
CRD#: 289244
Amesbury, MA
Past
January 28, 2011 - December 31, 2018
ALPS DISTRIBUTORS, INC.
BD
CRD#: 16853
Boston, MA
Past
May 5, 2009 - December 23, 2010
CALAMOS WEALTH MANAGEMENT LLC
RIA
CRD#: 143490
NAPERVILLE, IL
Past
April 3, 2002 - December 23, 2010
CALAMOS FINANCIAL SERVICES LLC
BD
CRD#: 19850
NAPERVILLE, IL
Past
February 12, 1993 - March 20, 2002
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
BD
CRD#: 28262
BOSTON, MA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/7/2019)
RR
Alaska(1/7/2019)
RR
Arizona(1/7/2019)
RR
Arkansas(1/7/2019)
RR
California(1/7/2019)
RR
Colorado(1/7/2019)
RR
Connecticut(1/7/2019)
RR
Delaware(1/7/2019)
RR
District of Columbia(1/7/2019)
RR
Florida(1/7/2019)
RR
Georgia(1/7/2019)
RR
Hawaii(1/7/2019)
RR
Idaho(1/7/2019)
RR
Illinois(1/7/2019)
RR
Indiana(1/7/2019)
RR
Iowa(1/7/2019)
RR
Kansas(1/7/2019)
RR
Kentucky(1/7/2019)
RR
Louisiana(1/7/2019)
RR
Maine(1/7/2019)
RR
Maryland(1/7/2019)
RR
Massachusetts(1/7/2019)
RR
Michigan(1/7/2019)
RR
Minnesota(1/7/2019)
RR
Mississippi(1/7/2019)
RR
Missouri(1/7/2019)
RR
Montana(1/7/2019)
RR
Nebraska(1/7/2019)
RR
Nevada(1/7/2019)
RR
New Hampshire(1/7/2019)
RR
New Jersey(1/7/2019)
RR
New Mexico(1/7/2019)
RR
New York(1/7/2019)
RR
North Carolina(1/7/2019)
RR
North Dakota(1/7/2019)
RR
Ohio(1/7/2019)
RR
Oklahoma(1/7/2019)
RR
Oregon(1/7/2019)
RR
Pennsylvania(1/7/2019)
RR
Rhode Island(1/7/2019)
RR
South Carolina(1/7/2019)
RR
South Dakota(1/7/2019)
RR
Tennessee(1/7/2019)
RR
Texas(1/7/2019)
RR
Utah(1/7/2019)
RR
Vermont(1/7/2019)
RR
Virginia(1/7/2019)
RR
Washington(1/7/2019)
RR
West Virginia(1/7/2019)
RR
Wisconsin(1/7/2019)
RR
Wyoming(1/7/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AI
AQR INVESTMENTS, LLC
AQR INVESTMENTS, LLC
CRD#: 289244 / SEC#: , 8-69990
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Greenwich Plaza Suite 130, Greenwich, CT 06830
Mailing Address
One Greenwich Plaza Suite 130, Greenwich, CT 06830
Phone number
(203) 742-3600
Established
Delaware since 03/15/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AQR CAPITAL MANAGEMENT HOLDINGS (B-D), LLC | PARENT COMPANY | |
| ANDRADE, GREGOR MASINI | CHIEF EXECUTIVE OFFICER | 2265718 |
| HOWARD, JOHN BRADLEY | BOARD OF MANAGERS | 3132622 |
| KABILLER, DAVID GARY | BOARD OF MANAGERS | 1736385 |
| MELLAS, STEPHEN JOSEPH | BOARD OF MANAGERS | 1505043 |
| PRINCE, STEPHANIE NICOLE | CHIEF COMPLIANCE OFFICER | 2618015 |
| RYAN, PATRICK EDMUND | CHIEF FINANCIAL OFFICER | 2822527 |
| WILLCOX, HERBERT JAMES | BOARD OF MANAGERS & CHIEF LEGAL OFFICER | 1868426 |
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.
Company Information
AQR INVESTMENTS, LLC
CRD#: 289244Amesbury, MA 01913TRUST BUT VERIFY
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