Scott W. Archer
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 William Archer, who also goes by Scott Archer, 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 Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2013 - June 2, 2015
TUDOR, PICKERING, HOLT & CO. SECURITIES, LLC
May 22, 2013 - June 2, 2015
TUDOR PICKERING HOLT & CO ADVISORS LP
November 5, 2004 - May 22, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 18, 2003 - May 22, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 12, 2002 - September 19, 2003
HARRIS NESBITT CORP.
August 11, 1997 - June 26, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
TUDOR, PICKERING, HOLT & CO. SECURITIES, LLC
CRD#: 129772 / SEC#: , 8-66251
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
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.
