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Scott Robert Geisinger

CRD# 3164969·Registered 1999 - 2006
Previously Registered: Being a previously registered professional could mean that Scott 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.

Professional Summary

Scott Robert Geisinger, who also goes by Scott Robert Gasinger, was a registered financial advisor. Scott was a previously registered financial professional and started their career in finance 1999 - 2006. Scott had worked at 9 firms and has passed the Series 63, Series 7 and Series 62 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Scott Robert Gasinger

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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.

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.

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Years of Experience

27 years in the financial services industry

Current & Past Employments

WESTROCK ADVISORS, INC.·CRD# 114338
BD
New York, NY
October 4, 2006 - December 7, 2006
WESTROCK ADVISORS, INC.·CRD# 114338
BD
New York, NY
June 15, 2005 - November 1, 2005
WESTROCK ADVISORS, INC.·CRD# 114338
BD
New York, NY
February 25, 2005 - April 1, 2005
JOSEPH STEVENS & CO., INC.·CRD# 35459
BD
Brooklyn, NY
November 15, 2004 - March 23, 2005
GUNNALLEN FINANCIAL, INC·CRD# 17609
BD
Tampa, FL
October 21, 2003 - October 30, 2003
CONTINENTAL BROKER-DEALER CORP.·CRD# 14048
BD
Carle Place, NY
May 27, 2003 - August 8, 2003
GUNNALLEN FINANCIAL, INC·CRD# 17609
BD
Tampa, FL
January 8, 2003 - June 2, 2003
WESTROCK ADVISORS, INC.·CRD# 114338
BD
New York, NY
May 21, 2002 - December 13, 2002
BUCKMAN, BUCKMAN & REID, INC.·CRD# 23407
BD
Little Silver, NJ
October 23, 2001 - June 19, 2002
ANDREW, ALEXANDER, WISE & COMPANY INCORPORATED·CRD# 37710
BD
New York, NY
October 1, 2001 - October 23, 2001
JOSEPH STEVENS & CO., INC.·CRD# 35459
BD
Brooklyn, NY
November 9, 2000 - August 30, 2001
WHITEHALL WELLINGTON INVESTMENTS, INC.·CRD# 38022
BD
Port Washington, NY
March 9, 2000 - November 24, 2000
SEABOARD SECURITIES, INC.·CRD# 755
BD
Florham Park, NJ
July 29, 1999 - February 29, 2000
JOSEPH STEVENS & CO., INC.·CRD# 35459
BD
Brooklyn, NY
March 29, 1999 - June 28, 1999
GLOBAL CAPITAL MARKETS, LLC·CRD# 16191
BD
Melville, NY
January 12, 1999 - February 16, 1999

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Current Firm

WA
WESTROCK ADVISORS, INC.

WESTROCK ADVISORS, INC.

CRD#: 114338 / SEC#: 8-53419
BD
Terminated by SEC on 08/07/2011

Contact Information

Established

New York since 08/30/1995

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
WESTROCK GROUP INCSHH—
DINATALE, ELIZABETH ANNEFINOP1960549
HUNTER, DONALD HORTON JRPRESIDENT1849030
LEVINE, JOAN DOLORESCOO207124
SHAPIRO, ANDREW JAYCHIEF COMPLIANCE OFFICER, ROSFP1104658

Disclosures

Regulatory Event

13

Arbitration

9

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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

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 1999About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Mar 1999About the Series 7 exam

Series 62 — Corporate Securities Limited Representative Examination

Passed Jan 1999

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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