Scott E. Brockman

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CRD#: 2450188

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 Eric Brockman, who also goes by Scott E Brockman, Scott Eric Brockman, Scott Brockman, was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 1994. Scott had worked at 11 firms and has passed the Series 65, Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Scott E Brockman | Scott Eric Brockman | Scott Brockman

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) MDRN Insurance LLC; Investment-related; Same address; Insurance sales; Implementation of insurance recommendations; Approximately 10% of time during the month.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 5, 2025 - October 14, 2025

MDRN CAPITAL

RIA

CRD#: 325950

NATICK, MA

Past

November 28, 2011 - May 17, 2012

CHIMERA SECURITIES, LLC

CRD#: 147566

NEW YORK, NY

Past

January 27, 2010 - November 11, 2011

WILLIAM O'NEIL + COMPANY

RIA

CRD#: 152620

BOSTON, MA

Past

July 29, 2009 - February 12, 2010

WILLIAM O'NEIL SECURITIES

RIA

CRD#: 894

BOSTON, MA

Past

July 28, 2009 - February 12, 2010

WILLIAM O'NEIL SECURITIES

CRD#: 894

BOSTON, MA

Past

September 26, 2008 - July 8, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WELLESLEY HILLS, MA

Past

June 19, 2008 - July 8, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WELLESLEY HILLS, MA

Past

May 9, 2008 - June 5, 2008

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162

BOLINGBROOK, IL

Past

July 1, 2004 - July 15, 2004

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162

BOLINGBROOK, IL

Past

April 30, 2002 - September 3, 2002

LIGHTSPEED PROFESSIONAL TRADING LLC

CRD#: 39293

NEW YORK, NY

Past

March 3, 2000 - May 12, 2000

TERRA NOVA FINANCIAL, LLC

CRD#: 37761

NEW YORK, NY

Past

October 12, 1998 - January 8, 1999

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

December 20, 1994 - September 30, 1998

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

March 2, 1994 - November 11, 1994

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MDRN CAPITAL

MDRN CAPITAL | MDRN CAPITAL, LLC

CRD#: 325950 / SEC#: 801-130784

RIA

Registered Investment Advisory firm - (7/29/2024 Approved)

Florida

Registered Investment Advisory firm - (8/21/2024 Terminated)

Louisiana

Registered Investment Advisory firm - (9/17/2024 Terminated)

Maryland

Registered Investment Advisory firm - (8/26/2024 Terminated)

Michigan

Registered Investment Advisory firm - (8/30/2024 Terminated)

Missouri

Registered Investment Advisory firm - (8/21/2024 Terminated)

North Carolina

Registered Investment Advisory firm - (8/22/2024 Terminated)

Ohio

Registered Investment Advisory firm - (8/21/2024 Terminated)

Pennsylvania

Registered Investment Advisory firm - (8/21/2024 Terminated)

Texas

Registered Investment Advisory firm - (8/21/2024 Terminated)

Utah

Registered Investment Advisory firm - (8/21/2024 Terminated)

Virginia

Registered Investment Advisory firm - (8/24/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/5/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/23/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/8/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/15/2024

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/1/1994

General Securities Representative Examination

Current Firm

MDRN CAPITAL

MDRN CAPITAL | MDRN CAPITAL, LLC

CRD#: 325950 / SEC#: 801-130784

RIA

Registered Investment Advisory firm - (7/29/2024 Approved)

Florida

Registered Investment Advisory firm - (8/21/2024 Terminated)

Louisiana

Registered Investment Advisory firm - (9/17/2024 Terminated)

Maryland

Registered Investment Advisory firm - (8/26/2024 Terminated)

Michigan

Registered Investment Advisory firm - (8/30/2024 Terminated)

Missouri

Registered Investment Advisory firm - (8/21/2024 Terminated)

North Carolina

Registered Investment Advisory firm - (8/22/2024 Terminated)

Ohio

Registered Investment Advisory firm - (8/21/2024 Terminated)

Pennsylvania

Registered Investment Advisory firm - (8/21/2024 Terminated)

Texas

Registered Investment Advisory firm - (8/21/2024 Terminated)

Utah

Registered Investment Advisory firm - (8/21/2024 Terminated)

Virginia

Registered Investment Advisory firm - (8/24/2024 Terminated)

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Contact information

Main Address

1997 Annapolis Exchange Parkway Suite 300, Annapolis, MD 21401

Mailing Address

Phone number

(410) 533-9966

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (30 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE, BROCHURE SUPPLEMENT AND PRIVACY POLICY (3/24/2025)

Regulatory assets under management

Total Number of Accounts	978
AUM (Assets Under Management)	$ 160,866,017

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.

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Advisor Monitoring

Firm Stability Insights

Scott E. Brockman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CHIMERA SECURITIES, LLC

WILLIAM O'NEIL + COMPANY

WILLIAM O'NEIL SECURITIES

WILLIAM O'NEIL SECURITIES

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

FIS BROKERAGE & SECURITIES SERVICES LLC

FIS BROKERAGE & SECURITIES SERVICES LLC

LIGHTSPEED PROFESSIONAL TRADING LLC

TERRA NOVA FINANCIAL, LLC

CIBC WORLD MARKETS CORP.

PRUDENTIAL EQUITY GROUP, LLC

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

MDRN CAPITAL

State Registrations and Notice Filings

Exams

Series 65

Date: 2/5/2018

Series 66

Date: 9/23/2008

Series 63

Date: 3/8/1994

SIE

Date: 8/15/2024

Series 7

Date: 3/1/1994

Current Firm

MDRN CAPITAL

Contact information

SEC notice filing (30 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MDRN CAPITAL

TRUST BUT VERIFY

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