Scott A. Adams
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 Andrew Adams, who also goes by Scott Adams, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2011. Scott had worked at 4 firms and has passed the Series 57TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 5, 2019 - January 17, 2022
AMS DERIVATIVES B.V.
November 22, 2013 - August 6, 2019
VOLANT LIQUIDITY, LLC
February 22, 2013 - November 1, 2013
TIBRA TRADING AMERICA LLC
August 8, 2011 - January 4, 2013
A.B. FINANCIAL L.L.C.
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 57TO
Date: 1/2/2023
Securities Trader ExamCurrent Firm
AMS DERIVATIVES B.V.
CRD#: 286507 / SEC#: , 8-69890
Contact information
Documents
Direct owners and executive officers
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.
