Gaetan T. Scalzo
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.
Gaetan Thomas Scalzo, CFP® was a registered financial professional .
Gaetan is a previously registered financial professional and started their career in finance in 1997. Gaetan had worked at 8 firms and has passed the 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
Start date: 2006
Experience
December 19, 2011 - September 25, 2025
CAPITAL INVESTMENT GROUP, INC.
April 11, 2011 - March 10, 2026
CLAREMONT FINANCIAL GROUP,INC.
April 27, 2009 - December 31, 2011
PACIFIC FINANCIAL GROUP, LLC
November 22, 2005 - December 22, 2011
PACIFIC FINANCIAL ASSOCIATES, INC.
November 21, 2002 - January 24, 2006
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
August 7, 2002 - December 14, 2005
ASSOCIATED SECURITIES CORP.
January 7, 2000 - August 20, 2002
OSAIC WEALTH, INC.
July 22, 1997 - January 26, 2000
CENTAURUS FINANCIAL, 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
CAPITAL INVESTMENT GROUP, INC.
CRD#: 14752 / SEC#: , 8-31225
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| R.B.S.B. FAMILY TRUST | OWNER | |
| NICHOLSON, WILLIAM BATEMAN SR | SHAREHOLDER | 2585041 |
| BATTLE, RICHARD STAATS | SHAREHOLDER | 2349045 |
| BROOKS, BENJAMIN TIMOTHY III | PRESIDENT | 2206321 |
| BRYANT, RICHARD KING | CEO/TREASURER/FINOP/CO-TRUSTEE | 1069685 |
| DRESSLER, KURT ALAN | SHAREHOLDER | 2381036 |
| EDDINS, WILLIAM HAROLD JR | ASSISTANT VICE PRESIDENT | 1724993 |
| HARDEN, RONALD TODD | SHAREHOLDER | 1528810 |
| KING, RONALD LEE | CHIEF COMPLIANCE OFFICER | 2530489 |
| MCDONALD, CORNELIUS TRAWICK III | ASSISTANT VICE PRESIDENT | 1288377 |
| SADLER, SUZANNE BRYANT | CO-TRUSTEE | 6313854 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 3 |
Red Flags
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