Scott A. Pelfrey
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 Alan Pelfrey, CFP®, who also goes by Scott Pelfrey, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2005. Scott had worked at 5 firms and has passed the Series 66, Series 65, SIE and Series 7TO exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1992
Experience
June 14, 2023 - July 31, 2023
CORECAP INVESTMENTS, LLC
April 13, 2023 - July 31, 2023
CORECAP ADVISORS
September 26, 2013 - November 27, 2017
REDW WEALTH LLC
April 6, 2011 - October 2, 2013
RIVER CAPITAL ADVISORS, LC
February 2, 2005 - June 1, 2005
ARNETT CARBIS TOOTHMAN WEALTH ADVISORS LLC
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
Series 7TO
Date: 4/29/2023
General Securities Representative ExaminationCurrent Firm
CORECAP INVESTMENTS, LLC
CRD#: 37068 / SEC#: , 8-47783
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 8 |
| Arbitration | 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.
