Scott J. Brand

STANDARD CHARTERED SECURITIES NORTH AMERICA LLC

New York, NY 10036

Some features on this profile are disabled

CRD#: 2548691

Professional summary

Scott Jason Brand is a registered financial professional currently at STANDARD CHARTERED SECURITIES NORTH AMERICA LLC located in New York, New York.

Scott is registered as a RR (Registered Representative) and started their career in finance in 1994. Scott has worked at 5 firms and has passed the Series 63, Series 52TO, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Scott Jason Brand's CRS (Customer Relationship Summary).

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

Current

May 2, 2023 - Present

STANDARD CHARTERED SECURITIES NORTH AMERICA LLC

Office #1: 1095 Avenue Of The Americas, New York, NY 10036

CRD#: 130847

New York, NY

Past

June 15, 2018 - May 4, 2023

BGC FINANCIAL, L.P.

CRD#: 19801

NEW YORK, NY

Past

August 21, 2015 - June 15, 2018

GFI SECURITIES LLC

CRD#: 19982

NEW YORK, NY

Past

January 16, 2001 - August 26, 2016

BGC FINANCIAL, L.P.

CRD#: 19801

NEW YORK, NY

Past

January 26, 1995 - January 17, 2001

CANTOR FITZGERALD SECURITIES

CRD#: 19660

NEW YORK, NY

Past

November 15, 1994 - March 21, 1995

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(5/2/2023)

New York
(5/2/2023)

Texas
(5/2/2023)

Exams

State Security Law Exam

Series 63

Date: 11/11/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/19/2017

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/14/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/3/2016

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

STANDARD CHARTERED SECURITIES NORTH AMERICA LLC

CRD#: 130847 / SEC#: , 8-66397

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1095 Avenue Of The Americas, New York, NY 10036

Mailing Address

1095 Avenue Of The Americas, New York, NY 10036

Phone number

(212) 667-0700

Established

Delaware since 05/17/2017

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
STANDARD CHARTERED HOLDINGS INC.	OWNER
DEFILIPPO, MANDY J	PRESIDENT AND CHIEF EXECUTIVE OFFICER	7184614
HAUSCHILD, AUGUST DANIEL	ANTI MONEY LAUNDERING COMPLIANCE OFFICER	4287421
JONES, PAUL FAULKNER	CHIEF RISK OFFICER	7630280
NIELSEN, PETER	FINANCIAL AND OPERATIONS PRINCIPAL	1072259
PAULIC, JACINTA	CHIEF COMPLIANCE OFFICER, HEAD, CFCC ADVISORY FM AMERICAS	5823367

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Scott J. Brand

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Scott Jason Brand's CRS (Customer Relationship Summary).

Certified licenses

Experience

BGC FINANCIAL, L.P.

GFI SECURITIES LLC

BGC FINANCIAL, L.P.

CANTOR FITZGERALD SECURITIES

KIDDER, PEABODY & CO. INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 11/11/1994

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 5/19/2017

Series 7

Date: 11/14/1994

Series 24

Date: 8/3/2016

FINRA

Current Firm

STANDARD CHARTERED SECURITIES NORTH AMERICA LLC

Contact information

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

STANDARD CHARTERED SECURITIES NORTH AMERICA LLC

TRUST BUT VERIFY

Similar Advisors