Scott A. Daspin
Professional summary
Scott A Daspin, who also goes by Scott Daspin, is a registered financial professional currently at TRIAD SECURITIES CORP located in New York, New York.
Scott is registered as a RR (Registered Representative) and started their career in finance in 1995. Scott has worked at 10 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Scott A Daspin's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 6, 2017 - Present
TRIAD SECURITIES CORP
Office #1: 111 Broadway 11th Floor, New York, NY 10006-9401May 5, 2016 - April 3, 2017
APEX CLEARING CORPORATION
April 15, 2015 - April 7, 2016
TRIAD SECURITIES CORP
January 8, 2007 - October 20, 2014
COWEN EXECUTION SERVICES LLC
November 17, 2006 - July 29, 2008
G-TRADE SERVICES LLC
May 3, 2004 - November 16, 2006
PERSHING LLC
January 2, 2004 - May 10, 2004
BNY DIRECT EXECUTION INC.
February 25, 2002 - December 19, 2003
BNY CLEARING SERVICES LLC
March 28, 2000 - February 12, 2002
CREDIT AGRICOLE SECURITIES (USA) INC.
December 1, 1999 - March 21, 2000
MORGAN STANLEY DW INC.
March 7, 1995 - December 3, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/3/2019)
(2/26/2021)
(10/3/2019)
(2/25/2021)
(10/28/2025)
(4/6/2017)
(12/7/2020)
Exams
Series 79TO
Date: 5/9/2019
Investment Banking Registered Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
TRIAD SECURITIES CORP
CRD#: 11363 / SEC#: , 8-20930
Contact information
FINRA licenses (42 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KEVIN M. SCHULTZ 2020 GST EXEMPT TRUST | SHAREHOLDER | |
| ARTICLE 6TH TRUST UW RICHARD SCHULTZ, JUDITH SCHULTZ TTEE | SHAREHOLDER | |
| CYNTHIA HORNIG 2011 GST EXEMPT TRUST U/D 8/10/2011 | SHAREHOLDER | |
| KEVIN SCHULTZ 2011 GST EXEMPT TRUST U/D 8/10/2011 | SHAREHOLDER | |
| FISHER, KENNETH ALAN | CEO | 4631540 |
| GOLDSMITH, LAWRENCE HARRY | DIRECTOR OF OPERATIONS/PRESIDENT | 1386783 |
| HOEHLER, TIMOTHY WILLIAM | CHIEF COMPLIANCE OFFICER | 2176769 |
| HORNIG, CYNTHIA | TRUSTEE-CYNTHIA HORNIG TRUST | 5989716 |
| LINDEN, ARTHUR AARON | SECRETARY/TREASURER | 1230452 |
| ROTHENBERG, SHARI P | FINOP/POO | 6590875 |
| SCHULTZ, JUDITH | TRUSTEE-ARTICLE 6TH TRUST | 6041541 |
| SCHULTZ, KEVIN MATTHEW | TRUSTEE-KEVIN M. SCHULTZ 2020 GST EXEMPT TRUST | 1779792 |
| SCHULTZ, KEVIN MATTHEW | TRUSTEE-KEVIN SCHULTZ TRUST | 1779792 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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