Scott R. Worden
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 Richard Worden was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1994. Scott had worked at 4 firms and has passed the Series 63, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 1999 - May 12, 2008
MAXIMUM FINANCIAL INVESTMENT GROUP, INC.
February 3, 1998 - December 1, 1999
TRADESTATION SECURITIES, INC.
June 12, 1996 - February 4, 1998
SECURITIES SERVICE NETWORK, LLC
September 6, 1994 - June 28, 1996
AMERIPRISE ADVISOR 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
Series 8
Date: 12/21/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MAXIMUM FINANCIAL INVESTMENT GROUP, INC.
CRD#: 40096 / SEC#: , 8-48960
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
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.
