Scot T. Pinto
Professional summary
Scot Thomas Pinto, who also goes by Scot Pinto, is a registered financial professional currently at C. L. KING & ASSOCIATES, INC. located in Albany, New York.
Scot is registered as a RR (Registered Representative) and started their career in finance in 1994. Scot has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Scot Thomas Pinto's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 9, 2005 - Present
C. L. KING & ASSOCIATES, INC.
Office #1: Nine Elk Street, Albany, NY 12207July 15, 1999 - February 15, 2005
NEEDHAM & COMPANY, LLC
March 18, 1999 - April 13, 1999
OPPENHEIMER & CO. INC.
July 1, 1998 - April 9, 1999
COWEN AND COMPANY
May 23, 1994 - July 1, 1998
FINANCIAL SQUARE PARTNERS
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/14/2017)
(5/5/2005)
(11/12/2015)
(11/12/2015)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 9/2/1999
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
C. L. KING & ASSOCIATES, INC.
CRD#: 6183 / SEC#: , 8-17025
Contact information
FINRA licenses (36 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEIR, CANDACE KING | PRESIDENT/DIRECTOR, CEO | 269796 |
| WEIR, AMELIA FARLEY | SHAREHOLDER | 1497338 |
| WEIR, KATHERINE BROUSSARD | SHAREHOLDER | 1497339 |
| GIMON, RICHARD JAMES | CHIEF COMPLIANCE OFFICER, DIRECTOR | 3217139 |
| MCMILLEN, PETER JOHN | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 2061930 |
| ZORIC, STEVEN | COO | 4074487 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
| Bond | 1 |
Red Flags
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