Scott H. Ross
Professional summary
Scott Howard Ross was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Scott is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Scott had worked at 11 firms, which includes LH ROSS & COMPANY INC., GUNNALLEN FINANCIAL INC, FIRST MONTAUK SECURITIES CORP., ARCHER ALEXANDER SECURITIES CORPORATION, EKN FINANCIAL SERVICES INC., GLOBAL CAPITAL SECURITIES CORPORATION, TASIN & COMPANY INC., PRESTON LANGLEY ASSET MANAGEMENT INC., SEABOARD SECURITIES INC., FIRST UNITED EQUITIES CORPORATION, LADENBURG CAPITAL MANAGEMENT INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2003 - June 29, 2004
LH ROSS & COMPANY, INC.
April 4, 2003 - September 3, 2003
GUNNALLEN FINANCIAL, INC
September 26, 2002 - March 19, 2003
FIRST MONTAUK SECURITIES CORP.
July 11, 2002 - September 30, 2002
ARCHER ALEXANDER SECURITIES CORPORATION
February 25, 2002 - July 10, 2002
EKN FINANCIAL SERVICES INC.
September 4, 1999 - December 19, 2001
GLOBAL CAPITAL SECURITIES CORPORATION
April 17, 1997 - September 8, 1999
TASIN & COMPANY, INC.
January 7, 1997 - April 16, 1997
PRESTON LANGLEY ASSET MANAGEMENT, INC.
March 12, 1996 - October 11, 1996
SEABOARD SECURITIES, INC.
May 18, 1995 - December 8, 1995
FIRST UNITED EQUITIES CORPORATION
December 15, 1993 - May 16, 1995
LADENBURG CAPITAL MANAGEMENT INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LH ROSS & COMPANY, INC.
CRD#: 37920 / SEC#: , 8-47990
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LH ROSS HOLDING CORP. | PARENT COMPANY | |
| MICHELIN, FRANKLYN ROSS | PRESIDENT | 2459180 |
Disclosures
| Regulatory Event | 31 |
| Arbitration | 15 |
Red Flags
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