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ST

Scott E. Tuozzolo

Some features on this profile are disabled
CRD#: 2893920
ST

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 Edward Tuozzolo, who also goes by Scott E Tuozzolo, Scott Tuozzolo, was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 1997. Scott had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24, Series 51 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Scott E Tuozzolo | Scott Tuozzolo

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

January 7, 2021 - December 31, 2021

LION STREET FINANCIAL, LLC

BD
CRD#: 165828
NEWARK, DE
Past

January 22, 2019 - August 13, 2019

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
NEWARK, DE
Past

May 18, 2017 - October 2, 2017

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
WILMINGTON, DE
Past

October 1, 2015 - November 18, 2015

QUESTAR CAPITAL CORPORATION

BD
CRD#: 43100
WILMINGTON, DE
Past

January 20, 2010 - August 17, 2015

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
NEWARK, DE
Past

May 15, 2009 - December 18, 2009

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
WILMINGTON, DE
Past

December 18, 2007 - May 4, 2009

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
MALVERN, PA
Past

April 4, 2005 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEWARK, DE
Past

April 4, 2005 - July 9, 2007

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
NEWARK, DE
Past

July 14, 1997 - April 6, 2005

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA

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

State Security Law Exam
RR
Series 63
Date: 5/29/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/2/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/4/2009
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/29/1997
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/16/2010
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 51
Date: 1/17/2008
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 6/22/2001
Investment Company Products/Variable Contracts Principal Examination

Current Firm

LS
LION STREET FINANCIAL, LLC
LION STREET FINANCIAL, LLC

CRD#: 165828 / SEC#: , 8-69183

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
300 Colorado St Suite 2600, Austin, TX 78701
Mailing Address
300 Colorado St Suite 2600, Austin, TX 78701
Phone number
(512) 776-8400
Established
Delaware since 01/07/2022
Firm type
Limited Liability Company
Fiscal year end
January
Firm Size
Small
# of Employees

FINRA licenses (23 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LION STREET, LLCHOLDING COMPANY
BURMEISTER, JOHN FREDRICK IIPRESIDENT & CEO4245451
HECKLER, CARIE MARIECHIEF COMPLIANCE OFFICER4557559
RATAJCZAK, KARIFINANCIAL & OPERATIONS PRINCIPAL6008791

Disclosures

Regulatory Event1

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

LION STREET FINANCIAL, LLC

CRD#: 165828

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