Joel B. Scott
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.
Joel Bradford Scott, who also goes by Brad Scott, was a registered financial professional .
Joel is a previously registered financial professional and started their career in finance in 1994. Joel had worked at 8 firms and has passed the Series 63, Series 65, SIE, 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
August 1, 2017 - April 29, 2019
BTIG, LLC
May 16, 2006 - December 11, 2015
CANTOR FITZGERALD & CO.
April 12, 2006 - May 11, 2006
QUEST CAPITAL STRATEGIES, INC.
January 21, 2000 - August 21, 2000
FIRST UNION BROKERAGE SERVICES, INC.
August 11, 1997 - December 13, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 13, 1996 - August 18, 1997
WACHOVIA SECURITIES, INC.
May 22, 1995 - January 13, 1997
FIRST UNION CAPITAL MARKETS CORP.
September 1, 1994 - June 1, 1995
PRUDENTIAL EQUITY GROUP, 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
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 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.
