Scott M. Scherer
Professional summary
Scott Martin Scherer, who also goes by Scott Scherer, is a registered financial professional currently at SHOPOFF SECURITIES, INC. located in Irvine, California.
Scott is registered as a RR (Registered Representative) and started their career in finance in 2000. Scott has worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Scott Martin Scherer's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 16, 2020 - Present
SHOPOFF SECURITIES, INC.
Office #1: 18565 Jamboree Road Suite 200, Irvine, CA 92612December 6, 2019 - March 17, 2020
NEXPOINT SECURITIES, INC.
January 7, 2019 - November 20, 2019
WAYPOINT DIRECT INVESTMENTS, LLC
November 7, 2017 - December 24, 2018
TCFG INVESTMENT ADVISORS, LLC
November 1, 2017 - December 24, 2018
TCFG WEALTH MANAGEMENT, LLC
August 17, 2016 - August 18, 2017
PREFERRED CAPITAL SECURITIES, LLC
December 1, 2014 - August 8, 2016
TCFG INVESTMENT ADVISORS, LLC
December 1, 2014 - August 8, 2016
TCFG WEALTH MANAGEMENT, LLC
January 25, 2011 - December 1, 2014
NFSG CORPORATION
January 24, 2011 - December 1, 2014
NEWBRIDGE SECURITIES CORPORATION
March 4, 2010 - December 31, 2010
CETERA ADVISORS LLC
September 11, 2009 - December 31, 2010
CETERA ADVISORS LLC
December 17, 2008 - September 10, 2009
CCO CAPITAL, LLC
December 5, 2005 - December 22, 2008
CAPITAL BROKERAGE CORPORATION
November 15, 2004 - June 27, 2005
BNY MELLON SECURITIES CORPORATION
February 9, 2000 - August 23, 2004
GLOBAL ATLANTIC DISTRIBUTORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/18/2020)
(3/30/2020)
(3/16/2020)
(5/5/2020)
(7/9/2021)
(3/17/2020)
(3/17/2020)
(3/17/2020)
(3/30/2020)
(3/17/2020)
(3/16/2020)
(3/17/2020)
(3/17/2020)
(3/23/2020)
Exams
FINRA
Current Firm
SHOPOFF SECURITIES, INC.
CRD#: 142866 / SEC#: , 8-67499
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE SHOPOFF REVOCABLE TRUST DATED 8/12/2004 | OWNER | |
| MERRIMAN, JO ALMA | CHIEF OPERATING OFFICER | 7346895 |
| SHOPOFF, CINDY MILAM | TRUSTEE | 5380583 |
| SHOPOFF, WILLIAM ANTHONY | CHIEF COMPLIANCE OFFICER / AML-CO | 1273471 |
| SHOPOFF, WILLIAM ANTHONY | PRESIDENT/CEO | 1273471 |
| SHOPOFF, WILLIAM ANTHONY | TRUSTEE | 1273471 |
| SHUMBERG, IVANA M | FINOP | 3167225 |
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.
