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SR

Scott C. Richter

Some features on this profile are disabled
CRD#: 2984999
SR

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 Channing Richter was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 1999. Scott had worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

March 5, 2014 - October 4, 2016

ASHTON STEWART & CO., INC.

BD
CRD#: 112386
MIAMI, FL
Past

October 23, 2012 - October 21, 2013

BARCLAYS CAPITAL INC.

RIA
CRD#: 19714
SAN FRANCISCO, CA
Past

October 22, 2012 - October 21, 2013

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
SAN FRANCISCO, CA
Past

August 2, 2010 - November 8, 2012

ASHTON STEWART & CO., INC.

BD
CRD#: 112386
MIAMI, FL
Past

March 13, 2009 - March 16, 2010

NEUBERGER BERMAN BD LLC

RIA
CRD#: 2908
NEW YORK, NY
Past

September 19, 2008 - March 16, 2010

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
NEW YORK, NY
Past

August 25, 2008 - September 24, 2008

LEHMAN BROTHERS INC.

BD
CRD#: 7506
SAN FRANCISCO, CA
Past

March 28, 2006 - July 3, 2008

ATLANTIC - PACIFIC CAPITAL, INC.

BD
CRD#: 38356
SAN FRANCISCO, CA
Past

February 10, 2005 - March 13, 2006

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

June 26, 2000 - October 23, 2002

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

October 14, 1999 - July 10, 2000

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

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
IAR
Series 66
Date: 3/11/2009
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/29/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/4/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/13/1999
General Securities Representative Examination

Current Firm

AS
ASHTON STEWART & CO., INC.
ASHTON STEWART & CO., INC. | VANTAGE SECURITIES, INC. | MAS TRADE.NET INC. | MAS CAPITAL SECURITIES, INC.

CRD#: 112386 / SEC#: , 8-53239

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

Main Address
1395 Brickell Ave Suite 800, Miami, FL 33131
Mailing Address
1395 Brickell Ave Suite 800, Miami, FL 33131
Phone number
(646) 868-5410
Established
Indiana since 09/27/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (46 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#
ASHTON STEWART INTERNATIONAL HOLDINGS, LLCSHAREHOLDER
BURMAN, ANATOLYCEO/CCO1652002

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

ASHTON STEWART & CO., INC.

CRD#: 112386

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