Scott A. Hobson
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.
Scott Allen Hobson, who also goes by Scott Hobson, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1996. Scott had worked at 10 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 2005 - January 19, 2006
WAMU INVESTMENTS, INC.
January 17, 2005 - April 11, 2005
CUNA BROKERAGE SERVICES, INC.
February 20, 2003 - August 14, 2003
INVESTMENT CENTERS OF AMERICA, INC.
November 4, 2002 - February 27, 2003
CETERA WEALTH SERVICES, LLC
May 1, 2001 - September 12, 2002
CUNA BROKERAGE SERVICES, INC.
June 13, 2000 - May 3, 2001
NATCITY INVESTMENTS, INC.
June 13, 2000 - May 3, 2001
NATCITY INSURANCE SERVICES, INC.
October 7, 1999 - June 23, 2000
BANC ONE SECURITIES CORPORATION
April 7, 1998 - September 2, 1998
INVESTMENT NETWORK, INC.
July 5, 1996 - March 25, 1998
COMMERCE BROKERAGE SERVICES, INC.
April 1, 1996 - June 5, 1996
WOODBURY FINANCIAL SERVICES, 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
WAMU INVESTMENTS, INC.
CRD#: 599 / SEC#: , 8-3641
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WASHINGTON MUTUAL BROKERAGE HOLDINGS, INC. | DIRECT OWNER | |
| CECILIO, ROBERT MARC | DIRECTOR, PRESIDENT, CHIEF ADMINISTRATIVE OFFICER | 1539928 |
| CHABOT, ALAN JAMES | DIRECTOR | 2617874 |
| HENRY, J. CHRISTOPHER | DIRECTOR | 5591455 |
| PERSONS, AARON MATTHEW | FIRST VICE PRESIDENT | 2216151 |
| RHEE, LISA HAMMOND | FINOP | 3251733 |
| WILBURN, DOUGLAS FREDERICK | SENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1407686 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 18 |
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.
