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JS

James A. Scott

TRADIER BROKERAGE
Charlotte, NC 28277
Some features on this profile are disabled
CRD#: 2910813
JS

Professional summary

James Allison Scott, who also goes by James Allison Scott III, James Allison Scott, Jamie Scott, is a registered financial professional currently at TRADIER BROKERAGE, INC. located in Charlotte, North Carolina.

James is registered as a RR (Registered Representative) and started their career in finance in 1997. James has worked at 11 firms and has passed the Series 63, Series 66, Series 6TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Allison Scott Iii | James Allison Scott | Jamie Scott

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) - BD

Click below to view James Allison Scott's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

January 23, 2023 - Present

TRADIER BROKERAGE, INC.

Office #1: 3420 Toringdon Way Suite 300, Charlotte, NC 28277Office #2: 3420 Toringdon Way Suite 300, Charlotte, NC 28277
BD
CRD#: 104982
Charlotte, NC
Past

April 7, 2022 - November 8, 2022

ALPACA SECURITIES LLC

BD
CRD#: 288202
NEW YORK, NY
Past

August 15, 2019 - August 2, 2021

CHOREO, LLC

RIA
CRD#: 111221
CHARLOTTE, NC
Past

October 2, 2015 - August 1, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
CHARLOTTE, NC
Past

October 2, 2015 - August 1, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

June 27, 2011 - September 11, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
CHARLOTTE, NC
Past

June 27, 2011 - September 11, 2015

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

October 21, 2010 - April 14, 2011

FAMILY OFFICE GROUP LLC

RIA
CRD#: 147275
DOYLESTOWN, PA
Past

September 12, 2005 - October 6, 2010

BB&T INVESTMENT SERVICES, INC.

RIA
CRD#: 33856
CHARLOTTE, NC
Past

September 12, 2005 - October 6, 2010

BB&T INVESTMENT SERVICES, INC.

BD
CRD#: 33856
CHARLOTTE, NC
Past

September 16, 2004 - September 13, 2005

UVEST FINANCIAL SERVICES GROUP, INC.

RIA
CRD#: 13787
CHARLOTTE, NC
Past

September 16, 2004 - September 13, 2005

UVEST FINANCIAL SERVICES GROUP, INC.

BD
CRD#: 13787
CHARLOTTE, NC
Past

December 3, 2002 - September 16, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
CHARLOTTE, NC
Past

December 3, 2002 - September 16, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

May 9, 2002 - December 3, 2002

BB&T INVESTMENT SERVICES, INC.

RIA
CRD#: 33856
CHARLOTTE, NC
Past

November 15, 2000 - December 3, 2002

BB&T INVESTMENT SERVICES, INC.

BD
CRD#: 33856
CHARLOTTE, NC
Past

October 1, 2000 - November 20, 2000

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

February 1, 1999 - October 1, 2000

FIRST UNION BROKERAGE SERVICES, INC.

BD
CRD#: 8112
CHARLOTTE, NC
Past

October 20, 1997 - August 11, 1998

WS GRIFFITH SECURITIES, INC.

BD
CRD#: 10410
HARTFORD, CT

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
North Carolina
(5/12/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 5/12/2023
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 2/28/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/9/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/6/1997
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 6/23/2005
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/15/2000
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TB
TRADIER BROKERAGE, INC.
ROBBINS SECURITIES, INC. | TRADIER BROKERAGE, INC.

CRD#: 104982 / SEC#: , 8-52972

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

Main Address
3420 Toringdon Way Suite 300, Charlotte, NC 28277
Mailing Address
3420 Toringdon Way Suite 300, Charlotte, NC 28277
Phone number
(980) 272-3880
Established
Illinois since 09/17/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 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#
TRADIER, INC.SHAREHOLDER
BENDER, STEVEN CHRISTOPHERFINOP2650187
LAPTEWICZ, PETER ANDREWPRESIDENT5257627
LEE, PAUL HYUN SEUNGCCO2476746
LEE, PAUL HYUN SEUNGCOO2476746
LEPORE, CHRISTOPHER JAMESROSFP4787660

Disclosures

Regulatory Event2

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

TRADIER BROKERAGE, INC.

CRD#: 104982Charlotte, NC 28277

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