Stuart A. Finlay
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.
Stuart Allan Finlay, who also goes by Scott A Finlay, Scott Allan Finlay, Stu Finlay, was a registered financial professional .
Stuart is a previously registered financial professional and started their career in finance in 1993. Stuart had worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2017 - January 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
April 8, 2009 - January 26, 2018
SCOTTRADE, INC.
November 19, 2007 - December 23, 2008
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
September 13, 2006 - July 17, 2007
BROOKSTREET SECURITIES CORPORATION
July 14, 2005 - May 1, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 4, 2000 - July 11, 2003
CHARLES SCHWAB & CO., INC.
April 4, 2000 - July 11, 2003
CHARLES SCHWAB & CO., INC.
October 22, 1999 - March 17, 2000
FIDELITY BROKERAGE SERVICES LLC
January 4, 1999 - October 4, 1999
SCUDDER FINANCIAL SERVICES, INC.
November 22, 1993 - December 31, 1998
DEAM INVESTOR SERVICES, INC.
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
SCOTTRADE INVESTMENT MANAGEMENT
CRD#: 169988 / SEC#: 801-79217
Contact information
Red Flags
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