Scott L. Axford
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 Lyle Axford, who also goes by Scott Axford, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1996. Scott had worked at 6 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
August 22, 2012 - February 15, 2018
QUESTAR ASSET MANAGEMENT, INC.
August 9, 2012 - February 15, 2018
QUESTAR CAPITAL CORPORATION
December 10, 2009 - January 31, 2012
EQUITABLE ADVISORS, LLC
December 3, 2009 - January 31, 2012
EQUITABLE ADVISORS, LLC
June 26, 1998 - November 11, 2009
FSC SECURITIES CORPORATION
June 26, 1998 - November 11, 2009
FSC SECURITIES CORPORATION
March 7, 1997 - July 14, 1998
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
November 27, 1996 - March 25, 1997
DMG SECURITIES, 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
QUESTAR ASSET MANAGEMENT, INC.
CRD#: 133358 / SEC#: 801-63747
Contact information
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.
