Scott W. Lang
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 William Lang was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1995. Scott had worked at 6 firms and has passed the Series 63, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2009 - August 20, 2014
NATWEST MARKETS SECURITIES INC.
May 9, 2005 - July 30, 2009
GOLDMAN SACHS & CO. LLC
May 1, 2001 - May 3, 2005
J.P. MORGAN SECURITIES INC.
March 27, 1997 - May 1, 2001
JPMSI
May 2, 1996 - April 11, 1997
MORGAN STANLEY MARKET PRODUCTS INC.
March 26, 1996 - April 11, 1997
MORGAN STANLEY & CO. LLC
January 19, 1996 - April 26, 1996
JPMSI
February 7, 1995 - April 26, 1996
JPMSI
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
Series 8
Date: 6/24/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NATWEST MARKETS SECURITIES INC.
CRD#: 11707 / SEC#: , 8-37135
Contact information
FINRA licenses (49 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBS HOLDINGS USA INC. | SHAREHOLDER | |
| BABAYEV, ETHAN | CHIEF FINANCIAL OFFICER | 4452299 |
| BROWER, LISA | SECRETARY, GENERAL COUNSEL | 6177644 |
| BUCCI, MICHELLE A | CHIEF OPERATING OFFICER | 5192971 |
| DESIMONE, LISA MARIE | CHIEF COMPLIANCE OFFICER | 2691368 |
| GIRARD, MICHELLE COLLEY | PRESIDENT / CHIEF EXECUTIVE OFFICER | 2185240 |
| ROOSE, SCOTT | DIRECTOR | 2539705 |
| SPEZZANO, CASEY RYAN | DIRECTOR | 4678231 |
Disclosures
| Regulatory Event | 43 |
| Civil Event | 4 |
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.
