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ST

Scott E. Talley

EQUITABLE DISTRIBUTORS
Charlotte, NC 28262
Some features on this profile are disabled
CRD#: 3204909
ST

Professional summary

Scott Eric Talley is a registered financial professional currently at EQUITABLE DISTRIBUTORS, LLC located in Charlotte, North Carolina.

Scott is registered as a RR (Registered Representative) and started their career in finance in 1999. Scott has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 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) - BD

Click below to view Scott Eric Talley's CRS (Customer Relationship Summary).

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

Current

August 13, 2014 - Present

EQUITABLE DISTRIBUTORS, LLC

Office #1: 8501 Ibm Drive Suite 150, Charlotte, NC 28262
BD
CRD#: 25900
Charlotte, NC
Past

November 18, 2013 - July 30, 2014

VERTICAL CAPITAL ASSET MANAGEMENT, LLC

RIA
CRD#: 158382
IRVINE, CA
Past

May 13, 2013 - July 30, 2014

VERTICAL CAPITAL SECURITIES, LLC

BD
CRD#: 154697
IRVINE, CA
Past

February 3, 2012 - April 24, 2013

SAMMONS FINANCIAL NETWORK, LLC

BD
CRD#: 158538
WEST DES MOINES, IA
Past

February 10, 2011 - December 20, 2011

SIGNATOR FINANCIAL SERVICES, INC.

RIA
CRD#: 19061
BELLEVUE, WA
Past

February 10, 2011 - December 20, 2011

SIGNATOR FINANCIAL SERVICES, INC.

BD
CRD#: 19061
BELLEVUE, WA
Past

January 1, 2010 - December 1, 2010

DIRECTED SERVICES LLC

RIA
CRD#: 21675
WEST CHESTER, PA
Past

June 30, 2000 - September 6, 2000

ING FUNDS DISTRIBUTOR, INC.

BD
CRD#: 36461
WILMINGTON, DE
Past

November 4, 1999 - December 1, 2010

DIRECTED SERVICES LLC

BD
CRD#: 21675
WEST CHESTER, PA
Past

April 20, 1999 - August 25, 1999

WILMINGTON BROKERAGE SERVICES COMPANY

BD
CRD#: 14942
WILMINGTON, DE

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Delaware
(8/13/2014)
RR
New Jersey
(4/25/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/30/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/29/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 4/14/1999
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

ED
EQUITABLE DISTRIBUTORS, LLC
AXA DISTRIBUTORS, LLC | EQUITABLE DISTRIBUTORS, LLC | EQUITABLE DISTRIBUTORS, INC. | AXA PARTNERS, A BUSINESS UNIT OF AXA DISTRIBUTORS, LLC

CRD#: 25900 / SEC#: , 8-42123

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

Main Address
8501 Ibm Drive, Suite 150, Charlotte, NC 28262
Mailing Address
1345 Avenue Of The Americas, New York, NY 10105
Phone number
(212) 314-2137
Established
Delaware since 01/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
EQ HOLDINGS, LLCOWNER
D'AUGUSTE, ARIELLE RACHELGENERAL COUNSEL7252573
DURSO, ALFRED JOSEPHCHIEF COMPLIANCE OFFICER2546771
KAIS, JAMES MICHAELDIRECTOR2529327
LANE, NICHOLAS BURRITTCHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER4994948
SCANLON, STEPHEN CAULEYDIRECTOR2219308
SCAPPATOR, CANDACE LYNNFINOP / CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER4697607

Disclosures

Arbitration1

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

EQUITABLE DISTRIBUTORS, LLC

CRD#: 25900Charlotte, NC 28262

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