Scott A. Wetzel
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 Allen Wetzel was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1999. Scott had worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 31, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2020 - December 9, 2024
SKYVIEW INVESTMENT BANKING
December 3, 2019 - June 30, 2020
FRONTIER SOLUTIONS, LLC
June 20, 2007 - September 22, 2008
PRINCIPAL SECURITIES, INC.
February 2, 2005 - December 13, 2017
PRINCIPAL FUNDS DISTRIBUTOR, INC.
November 12, 2002 - March 15, 2005
LOCORR DISTRIBUTORS, LLC
April 13, 2001 - June 10, 2002
U.S. GROWTH INVESTMENTS, INC.
February 17, 1999 - April 26, 2000
PIPER SANDLER & CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 79TO
Date: 2/9/2021
Investment Banking Registered Representative ExaminationCurrent Firm
SKYVIEW INVESTMENT BANKING
CRD#: 135073 / SEC#: , 8-66888
Contact information
Documents
Red Flags
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