Andrew H. 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.
Andrew Howard Scott, who also goes by Andrew H Scott, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1995. Andrew had worked at 9 firms and has passed the Series 63, Series 79TO, SIE, Series 7 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
May 17, 2024 - September 25, 2024
T.R. WINSTON & COMPANY, LLC
December 11, 2018 - December 31, 2023
THINKEQUITY LLC
November 12, 2014 - December 11, 2018
WESTPARK CAPITAL, INC.
July 19, 2012 - June 2, 2014
FELIX INVESTMENTS LLC
March 10, 2009 - July 18, 2012
MAXIM GROUP LLC
August 19, 2008 - March 13, 2009
LAIDLAW & COMPANY (UK) LTD.
April 10, 2006 - July 23, 2008
MAXIM GROUP LLC
October 31, 2005 - April 11, 2006
T.R. WINSTON & COMPANY, LLC
November 27, 2002 - October 4, 2005
MAXIM GROUP LLC
March 18, 2002 - November 27, 2002
SANDS BROTHERS & CO., LTD.
March 7, 1996 - March 25, 2002
CROWN FINANCIAL GROUP, INC.
December 14, 1995 - February 23, 1996
FIRST ASSET MANAGEMENT, 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
T.R. WINSTON & COMPANY, LLC
CRD#: 10571 / SEC#: , 8-27519
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RUNNELS, G TYLER | DIRECTOR, CHAIRMAN AND CEO | 1415264 |
| KANG, KAREN | EXECUTIVE VICE PRESIDENT AND ROSFP | 4367718 |
| CRISWELL, JEFFREY LENOX SR | VICE PRESIDENT, SECRETARY, CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER | 2121440 |
| HEMEDES, STEPHEN NATHANIEL | MUNICIPAL PRINCIPAL AND HEAD TRADER | 6870830 |
| SANCIO, GALE ANN | ASSISTANT SECRETARY, ROSFP | 1121258 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
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.
