Corey L. 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.
Corey Lee Scott was a registered financial professional .
Corey is a previously registered financial professional and started their career in finance in 2001. Corey had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 4 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
January 16, 2014 - January 6, 2021
TD AMERITRADE CLEARING, INC.
November 30, 2010 - February 6, 2014
TD AMERITRADE, INC.
October 19, 2009 - October 31, 2013
TD AMERITRADE CLEARING, INC.
April 22, 2006 - October 19, 2009
TD AMERITRADE, INC.
January 7, 2002 - April 22, 2006
TD AMERITRADE CLEARING, INC.
June 29, 2001 - December 31, 2001
ACCUTRADE 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
TD AMERITRADE CLEARING, INC.
CRD#: 5633 / SEC#: , 8-16335
Contact information
Documents
Disclosures
| Regulatory Event | 27 |
| Arbitration | 27 |
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.
