Scott M. Fine
Professional summary
Scott Mitchell Fine was barred by both the FINRA and the SEC 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 7 firms, which includes GREATER MIDWEST ADVISORS INC., INVESTMENT ADVISORY OF LEE COUNTY LLC, KESCO SECURITIES CORP., REVERE SECURITIES LLC, QUICK & REILLY INC., YORK SECURITIES INC., R.B. WEBSTER INVESTMENTS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2003 - March 23, 2004
GREATER MIDWEST ADVISORS, INC.
May 23, 2003 - February 17, 2004
INVESTMENT ADVISORY OF LEE COUNTY, LLC
February 7, 2001 - May 13, 2003
KESCO SECURITIES CORP.
January 2, 1998 - July 6, 2000
REVERE SECURITIES LLC
April 17, 1995 - January 20, 1998
QUICK & REILLY, INC.
December 8, 1993 - February 27, 1995
YORK SECURITIES, INC.
December 11, 1992 - June 11, 1993
R.B. WEBSTER INVESTMENTS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 28
Date: 8/7/2000
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent firm
No current employment
Red Flags
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