S. Scott Lain
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.
S. Scott Lain, who also goes by S Scott Lain, S. Scott Lain, S. Scott Scott Lain, was a registered financial professional .
S. Scott is a previously registered financial professional and started their career in finance in 1996. S. Scott had worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2018 - July 24, 2018
NFSG CORPORATION
January 20, 2018 - July 24, 2018
NEWBRIDGE SECURITIES CORPORATION
July 20, 2017 - February 23, 2018
ARCUS CAPITAL PARTNERS, LLC
February 21, 2017 - April 7, 2017
CHECK CAPITAL MANAGEMENT INC
November 28, 2016 - February 14, 2017
CHECK CAPITAL MANAGEMENT INC
January 24, 2012 - May 12, 2016
STRATEGIC ADVISERS LLC
December 13, 2011 - May 5, 2016
FIDELITY BROKERAGE SERVICES LLC
June 23, 2010 - December 2, 2011
NEW ENGLAND SECURITIES
May 13, 2010 - December 2, 2011
NEW ENGLAND SECURITIES
May 2, 2009 - May 18, 2010
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - May 18, 2010
CHASE INVESTMENT SERVICES CORP.
May 12, 2006 - May 2, 2009
WAMU INVESTMENTS, INC.
October 28, 2003 - May 2, 2009
WAMU INVESTMENTS, INC.
July 10, 2002 - September 13, 2002
CARDINAL CAPITAL MANAGEMENT, INC.
November 14, 2001 - April 29, 2002
QUICK & REILLY, INC.
April 17, 1996 - August 10, 2001
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
NFSG CORPORATION
CRD#: 130814 / SEC#: 801-68448
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
NFSG CORPORATION
CRD#: 130814 / SEC#: 801-68448
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,607 |
| AUM (Assets Under Management) | $ 1,082,643,515 |
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.
