Scott A. Ammaturo
Professional summary
Scott Anthony Ammaturo is a registered financial professional currently at B. RILEY SECURITIES, INC. located in Los Angeles, California.
Scott is registered as a RR (Registered Representative) and started their career in finance in 1996. Scott has worked at 10 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 31, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Scott Anthony Ammaturo's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 7, 2015 - Present
B. RILEY SECURITIES, INC.
Office #1: 11100 Santa Monica Blvd. Suite 800, Los Angeles, CA 90025April 23, 2012 - December 3, 2019
MLV & CO. LLC
June 23, 2005 - April 23, 2012
UNX LLC
May 29, 2003 - June 23, 2005
PULSE TRADING, INC.
December 13, 2002 - May 20, 2003
SUNGARD GLOBAL EXECUTION SERVICES LLC
August 2, 2000 - May 21, 2003
NASDAQ EXECUTION SERVICES, LLC
November 17, 1999 - August 3, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 4, 1997 - May 24, 1999
MORGAN STANLEY DW INC.
April 7, 1997 - June 13, 1997
EARNHARDT CO., INC.
May 14, 1996 - July 8, 1996
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/7/2015)
(12/7/2015)
(10/1/2024)
(12/7/2015)
(11/26/2019)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 4/23/2001
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY SECURITIES HOLDINGS, INC. | DIRECT PARENT | |
| BAKER, JAMES RICHARD | CO-CHIEF EXECUTIVE OFFICER | 5834046 |
| INNIS, KATHLEEN GIBBONS | CHIEF COMPLIANCE OFFICER | 2112837 |
| MCCOY, MICHAEL RICHARD | CHIEF FINANCIAL OFFICER | 4743031 |
| MOORE, ANDREW THOMAS | CO-CHIEF EXECUTIVE OFFICER | 4574997 |
| SCHUTT, JANELLE REGINA | CONTROLLER | 2853858 |
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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