Scott M. Balotin
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 Marc Balotin was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1994. Scott had worked at 4 firms and has passed the Series 65, Series 63, Series 31 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
July 18, 2001 - December 31, 2019
DIGGER CAPITAL, INC.
July 23, 1998 - May 16, 2001
LEGG MASON WOOD WALKER, INCORPORATED
September 16, 1996 - July 20, 1998
UBS FINANCIAL SERVICES INC.
October 18, 1994 - September 17, 1996
MORGAN STANLEY DW INC.
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
DIGGER CAPITAL, INC.
CRD#: 142933 / SEC#:
Contact information
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.
