Scott D. Schaerer
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 Schaerer was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1997. Scott had worked at 9 firms and has passed the Series 65, Series 66, Series 63, SIE, 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
November 1, 2019 - December 20, 2019
PAULSON INVESTMENT COMPANY LLC
September 23, 2019 - December 20, 2019
PAULSON INVESTMENT COMPANY LLC
January 7, 2019 - July 1, 2019
DAYBRIGHT ADVISORY SERVICES, INC.
January 6, 2016 - January 4, 2018
JOHN HANCOCK DISTRIBUTORS LLC
March 31, 2014 - April 28, 2015
PENTEGRA DISTRIBUTORS INC.
April 10, 2007 - August 8, 2013
TPG FINANCIAL ADVISORS, LLC
March 12, 2007 - July 31, 2013
GENEOS WEALTH MANAGEMENT, INC.
May 15, 2002 - March 13, 2007
MMC SECURITIES LLC
May 3, 2002 - March 13, 2007
MMC SECURITIES LLC
January 6, 2000 - November 9, 2001
UBS FINANCIAL SERVICES INC.
July 18, 1997 - October 29, 1999
COLUMBIA FINANCIAL CENTER INCORPORATED
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
PAULSON INVESTMENT COMPANY LLC
CRD#: 5670 / SEC#: 801-107194, 8-26807
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAULSON CAPITAL HOLDING COMPANY, LLC | OWNER | |
| CLARK, CHRISTOPHER STEVEN | CHAIRMAN, ELECTED MANAGER | 1952666 |
| PARIGIAN, THOMAS STEWART | ELECTED MANAGER | 1398840 |
| SETTEDUCATI, ROBERT JOSEPH | ELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT | 1352722 |
| DAVIS, TRENT DONALD | CHIEF EXECUTIVE OFFICER | 2137171 |
| RASMUSSEN, KATHLEEN HATLELI | CHIEF COMPLIANCE OFFICER | 2608755 |
| WINKS, MALCOLM ALEXANDER | PRESIDENT AND CFO/FINOP | 5153752 |
Disclosures
| Regulatory Event | 35 |
| Civil Event | 1 |
| Arbitration | 8 |
| Bond | 1 |
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.
