SA
Scott P. Arden
DWS DISTRIBUTORS
New York, NY
Some features on this profile are disabled
CRD#: 2478397
SA
Professional summary
Scott Peter Arden, who also goes by Scott Arden, is a registered financial professional currently at DWS DISTRIBUTORS, INC. located in New York, New York.
Scott is registered as a RR (Registered Representative) and started their career in finance in 1996. Scott has worked at 10 firms and has passed the Series 63, Series 7TO, SIE, Series 55, Series 7, Series 3 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Scott Arden
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Scott Peter Arden's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 21, 2025 - Present
DWS DISTRIBUTORS, INC.
BD
CRD#: 37306
New York, NY
Past
April 9, 2014 - September 9, 2020
HODES WEILL SECURITIES, LLC
BD
CRD#: 131848
NEW YORK, NY
Past
September 26, 2012 - January 6, 2014
TRITON PACIFIC CAPITAL, LLC
BD
CRD#: 40817
NEW YORK, NY
Past
December 22, 2009 - July 13, 2012
MVISION PRIVATE EQUITY ADVISERS USA LLC
BD
CRD#: 122242
NEW YORK, NY
Past
May 31, 2007 - June 1, 2009
RAMIUS SECURITIES LLC
BD
CRD#: 41076
NEW YORK, NY
Past
January 2, 2007 - May 25, 2007
RBC CAPITAL MARKETS CORPORATION
BD
CRD#: 6579
NEW YORK, NY
Past
July 3, 2006 - January 2, 2007
CARLIN EQUITIES, LLC
BD
CRD#: 31295
NEW YORK, NY
Past
May 10, 2006 - May 30, 2007
G-2 TRADING,LLC
BD
CRD#: 44018
NEW YORK, NY
Past
April 24, 1997 - April 16, 2004
FIRST NEW YORK SECURITIES L.L.C.
BD
CRD#: 16362
NEW YORK, NY
Past
February 9, 1996 - April 11, 1997
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/7/2025)
RR
Alaska(4/8/2025)
RR
Arizona(4/14/2025)
RR
Arkansas(4/16/2025)
RR
California(4/7/2025)
RR
Colorado(4/8/2025)
RR
Connecticut(4/7/2025)
RR
Delaware(4/11/2025)
RR
District of Columbia(4/14/2025)
RR
Florida(4/8/2025)
RR
Georgia(4/8/2025)
RR
Hawaii(5/23/2025)
RR
Idaho(4/7/2025)
RR
Illinois(4/18/2025)
RR
Indiana(4/9/2025)
RR
Iowa(4/7/2025)
RR
Kansas(4/7/2025)
RR
Kentucky(4/10/2025)
RR
Louisiana(4/7/2025)
RR
Maine(4/7/2025)
RR
Maryland(4/18/2025)
RR
Massachusetts(4/7/2025)
RR
Michigan(4/9/2025)
RR
Minnesota(4/7/2025)
RR
Mississippi(4/7/2025)
RR
Missouri(4/7/2025)
RR
Montana(4/7/2025)
RR
Nebraska(4/7/2025)
RR
Nevada(4/7/2025)
RR
New Hampshire(4/8/2025)
RR
New Jersey(4/9/2025)
RR
New Mexico(4/8/2025)
RR
New York(4/3/2025)
RR
North Carolina(4/7/2025)
RR
North Dakota(4/14/2025)
RR
Ohio(4/7/2025)
RR
Oklahoma(4/7/2025)
RR
Oregon(4/11/2025)
RR
Pennsylvania(4/8/2025)
RR
Puerto Rico(4/24/2025)
RR
Rhode Island(4/8/2025)
RR
South Carolina(4/8/2025)
RR
South Dakota(4/9/2025)
RR
Tennessee(4/8/2025)
RR
Texas(4/7/2025)
RR
Utah(4/8/2025)
RR
Vermont(4/7/2025)
RR
Virgin Islands(4/7/2025)
RR
Virginia(4/7/2025)
RR
Washington(4/7/2025)
RR
West Virginia(4/9/2025)
RR
Wisconsin(4/9/2025)
RR
Wyoming(4/16/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/20/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 9/8/2006
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
DD
DWS DISTRIBUTORS, INC.
DEAWM DISTRIBUTORS, INC. | ZURICH KEMPER DISTRIBUTORS, INC. | SCUDDER DISTRIBUTORS, INC. | KEMPER DISTRIBUTORS, INC. | DWS SCUDDER DISTRIBUTORS, INC. | DWS INVESTMENTS DISTRIBUTORS, INC | DWS DISTRIBUTORS, INC. | DEUTSCHE AM DISTRIBUTORS, INC.
CRD#: 37306 / SEC#: , 8-47765
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
222 South Riverside Plaza, Chicago, IL 60606-5808
Mailing Address
875 Third Avenue 27th Floor- Mail Stop Nyc03-2720, New York, NY 10022
Phone number
(212) 454-8608
Established
Delaware since 09/20/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DWS INVESTMENT MANAGEMENT AMERICAS , INC. | SHAREHOLDER | |
| ABBOTT, KEVIN S | CHIEF OPERATING OFFICER | 4210778 |
| BALUYOT, RHEEZA RAMOS | CHIEF FINANCIAL OFFICER | 8028310 |
| CHELEL, NICOLE M. | CHIEF COMPLIANCE OFFICER | 4748490 |
| IKUSS, AMANDA JEAN | VICE PRESIDENT & DIRECTOR | 6602098 |
| MAUTE, BRIAN C | CHAIRMAN OF THE BOARD/DIRECTOR, CHIEF EXECUTIVE OFFICER / PRESIDENT | 2929953 |
| REUTER, MICHELLE S | VICE PRESIDENT | 6572669 |
| SHIELDS, JOHN POWELL JR | DIRECTOR & VICE PRESIDENT | 1950330 |
| WILCZEWSKI, JOEL JOHN | VICE PRESIDENT | 2815498 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
