Scott R. Chaisson
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 Robert Chaisson, who also goes by Scott R Chaisson, Scott Chaisson, Scott Robert Robert Chaisson, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1997. Scott had worked at 10 firms and has passed the 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
September 17, 2009 - March 23, 2016
UBS SECURITIES LLC
February 29, 2008 - April 3, 2009
RBC CAPITAL MARKETS, LLC
January 2, 2007 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
October 17, 2006 - January 2, 2007
CARLIN EQUITIES, LLC
June 19, 2003 - October 13, 2006
VIRTU ITG LLC
May 14, 2001 - September 2, 2003
ITG EXECUTION SERVICES, INC.
July 20, 1999 - February 20, 2001
ABN AMRO SECURITIES LLC
February 4, 1998 - July 26, 1999
UBS FINANCIAL SERVICES INC.
January 20, 1998 - January 30, 1998
LADENBURG THALMANN & CO. INC.
May 20, 1997 - December 18, 1997
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
Exams
Current Firm
UBS SECURITIES LLC
CRD#: 7654 / SEC#: 801-67178, 8-22651
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC | MEMBER, VOTING | |
| CASAVECHIA, RICHARD MICHAEL | MANAGING DIRECTOR, SENIOR MANAGER INVESTMENT BANKING | 4732235 |
| DIMARCO, PATRICK M | CHIEF COMPLIANCE OFFICER | 4549136 |
| EBERT, MICHAEL J | PRESIDENT AND CHAIR OF THE BOARD | 4556059 |
| HAZELWOOD, TRICIA | MANAGING DIRECTOR, SENIOR MANAGER TRADING & SALES | 4232035 |
| LOFTUS, MICHAEL L | MANAGING ATTORNEY, INVESTMENT BANKING & CAPITAL MARKETS | 4176467 |
| MATTONE, RALPH MICHAEL | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| NIETO, CALLUM | PRINCIPAL OPERATIONS OFFICER | 6765482 |
| VAN TASSEL, JAMES C | MANAGING DIRECTOR, US EQUITIES RESEARCH | 2558212 |
Disclosures
| Regulatory Event | 308 |
| Civil Event | 4 |
| Arbitration | 3 |
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.
