Scott Alan Fowler
Professional Summary
Scott Alan Fowler, who also goes by Scott A Fowler, is a registered financial advisor 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...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Scott A Fowler
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
28 years in the financial services industry
Current & Past Employments
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Current Firm
A&A SECURITIES LLC | NORTH SUFFOLK WEALTH MANAGEMENT | JAMES W. HUMBARD | HUMBARD, JAMES W. | CUMBERLAND SECURITIES LLC | A&A SECUTITIES LLC
Contact Information
Main Address
540 W. Madison St., Chicago, IL 60540Mailing Address
540 W. Madison St., Chicago, IL 60540Phone Number
(312) 542-1000Established
Washington since 07/14/2010Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
(5/7/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 62 — Corporate Securities Limited Representative Examination
Passed Jan 2023Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Scott Alan Fowler's CRS (Customer Relationship Summary).
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