Scott P. Houlihan
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 Patrick Houlihan was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1994. Scott had worked at 6 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 1998 - August 31, 2023
OTA LLC
December 22, 1995 - May 20, 1997
PRUDENTIAL EQUITY GROUP, LLC
January 10, 1995 - December 12, 1995
ALEX. BROWN & SONS INCORPORATED
August 30, 1994 - October 24, 1994
BERKELEY SECURITIES CORPORATION
May 20, 1994 - July 7, 1994
AMERICORP SECURITIES, INC.
May 11, 1994 - May 16, 1994
SOUTH RICHMOND SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/16/1999
Limited Representative-Equity Trader ExamCurrent Firm
OTA LLC
CRD#: 25816 / SEC#: , 8-43168
Contact information
Documents
Disclosures
| Regulatory Event | 21 |
Red Flags
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