Scott A. Fowler
Professional summary
Scott Alan Fowler, who also goes by Scott A Fowler, is a registered financial professional currently at DRW SECURITIES, L.L.C. located in Chicago, Illinois and DRW EXECUTION SERVICES, LLC located in Chicago, Illinois.
Scott is registered as a RR (Registered Representative) and started their career in finance in 1998. Scott has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, Series 57TO, Series 62, Series 79TO, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Scott Alan Fowler's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 5, 2017 - Present
DRW SECURITIES, L.L.C.
Office #1: 540 West Madison Street Suite 2500, Chicago, IL 60661January 12, 2018 - Present
DRW EXECUTION SERVICES, LLC
Office #1: 540 W. Madison St. Suite 2500, Chicago, IL 60661November 5, 2019 - Present
CUMBERLAND SECURITIES LLC
Office #1: 540 W. Madison St., Chicago, IL 60540March 2, 2011 - September 29, 2017
RGM SECURITIES, LLC
February 18, 2008 - January 3, 2011
AFFILIATED BANKERS CAPITAL, L.L.C.
June 29, 2005 - August 3, 2006
AVANTAX INVESTMENT SERVICES, INC.
March 9, 2000 - December 16, 2004
AVANTAX ADVISORY SERVICES
July 6, 1998 - December 10, 2003
AVANTAX INVESTMENT SERVICES, 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
(5/7/2024)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationBOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX PEARL, LLC
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
CUMBERLAND SECURITIES LLC
CRD#: 13970 / SEC#: , 8-31215
Contact information
FINRA licenses (1 States and Territories)
Documents
Red Flags
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