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AS

Alexander L. Scott

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CRD#: 2521904
AS

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.

Alexander Lincoln Scott was a registered financial professional .

Alexander is a previously registered financial professional and started their career in finance in 1994. Alexander had worked at 2 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

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

November 15, 1999 - May 15, 2025

SMG SECURITIES, INC.

BD
CRD#: 17406
NEW YORK, NY
Past

November 14, 1994 - March 2, 1999

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 11/21/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/15/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 11/26/2007
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 11/12/1994
General Securities Representative Examination

Current Firm

SS
SMG SECURITIES, INC.
SCOTT-MACON SECURITIES, INC. | SMG SECURITIES, INC.

CRD#: 17406 / SEC#: , 8-35184

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
333 East 66th Street Suite 2-o, New York, NY 10065
Mailing Address
333 East 66th Street Suite 2-o, New York, NY 10065
Phone number
(212) 288-1200
Established
Delaware since 11/08/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (14 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SMG ASSOCIATES, LLCOWNER
TEPPER, JEFFREY MARKPRESIDENT & CEO AND CHIEF COMPLIANCE OFFICER1215438

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.

Company Information

SMG SECURITIES, INC.

CRD#: 17406

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