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SO

Scott D. O'donnell

Some features on this profile are disabled
CRD#: 2866293
SO

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 David O'donnell, who also goes by Scott David Odonnell, Scott Odonnell, was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 1997. Scott had worked at 4 firms and has passed the SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Scott David Odonnell | Scott Odonnell

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 24, 2002 - March 12, 2024

HMC INVESTMENTS, LLC

BD
CRD#: 40581
BIRMINGHAM, AL
Past

September 8, 2000 - June 3, 2002

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

June 14, 1999 - November 21, 2000

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

April 18, 1997 - June 14, 1999

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/15/1997
General Securities Representative Examination

Current Firm

HI
HMC INVESTMENTS, LLC
HARBINGER SECURITIES, INC. | HMC INVESTMENTS, LLC | HMC INVESTMENTS, INC.

CRD#: 40581 / SEC#: , 8-49140

BD
Terminated by SEC on 02/08/2025
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Contact information

Main Address
Mailing Address
Phone number
Established
Alabama since 11/30/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
HARBERT MANAGEMENT CORPORATION100% OWNERSHIP
BAUDER, MICHAEL CONRADCHIEF COMPLIANCE OFFICER2318491
BAUDER, MICHAEL CONRADPRESIDENT2318491

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.

Company Information

HMC INVESTMENTS, LLC

CRD#: 40581

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