Scott B. Hartzell
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 Barrowman Hartzell was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1997. Scott had worked at 12 firms and has passed the Series 63, SIE, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2018 - August 2, 2019
AMERIVET SECURITIES, INC.
June 18, 2015 - September 2, 2015
HB SECURITIES, LLC
June 3, 2015 - July 29, 2015
NMS CAPITAL SECURITIES, LLC
August 8, 2013 - April 28, 2015
HALEN CAPITAL
February 14, 2011 - October 17, 2011
H.C.WAINWRIGHT & CO., LLC
March 25, 2008 - April 12, 2010
H.C.WAINWRIGHT & CO., LLC
July 7, 2005 - December 17, 2007
CANTOR FITZGERALD & CO.
June 4, 2003 - May 31, 2005
CAPITAL ONE SECURITIES, INC.
December 16, 2000 - April 24, 2003
A. G. EDWARDS & SONS, INC.
December 1, 1999 - October 17, 2000
GEORGE K. BAUM & COMPANY
December 1, 1998 - September 1, 1999
MOSES.COM SECURITIES, INC.
December 1, 1998 - September 17, 1999
HUNTLEIGH SECURITIES CORPORATION
March 26, 1997 - August 14, 1998
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AMERIVET SECURITIES, INC.
CRD#: 34786 / SEC#: , 8-46478
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
Red Flags
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