Scott A. Ezzati
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 Ajand Ezzati was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2000. Scott had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 6, 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
November 20, 2014 - April 23, 2015
SYMETRA SECURITIES, INC.
July 26, 2013 - December 5, 2013
LOOMIS SAYLES DISTRIBUTORS, L.P.
June 10, 2008 - September 22, 2011
WALNUT STREET SECURITIES, INC.
June 10, 2008 - September 22, 2011
TOWER SQUARE SECURITIES, INC.
June 10, 2008 - September 22, 2011
NEW ENGLAND SECURITIES
June 10, 2008 - September 22, 2011
METLIFE INVESTORS DISTRIBUTION COMPANY
March 14, 2008 - September 22, 2011
MSI FINANCIAL SERVICES, INC.
April 19, 2002 - May 6, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
March 1, 2002 - May 6, 2002
IDS LIFE INSURANCE COMPANY
March 1, 2002 - May 6, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
August 14, 2000 - December 10, 2001
MORGAN STANLEY DW INC.
July 14, 2000 - August 11, 2000
SIMMONS & BISHOP CO. INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SYMETRA SECURITIES, INC.
CRD#: 739 / SEC#: , 8-13470
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SYMETRA FINANCIAL CORPORATION | OWNER | |
| BALKOVETZ, CHANTEL LEE | DIRECTOR | 2490011 |
| DIMITRI, DAVID MICHAEL | SECRETARY | 4806001 |
| DOW, SHANEN LYNN | ASSISTANT TREASURER | 7676848 |
| ELLIS, COURTNEY LYNN | CHIEF OPERATING OFFICER | 5460601 |
| FARRELL, ANDREW MICHAEL | PRESIDENT, DIRECTOR | 4463467 |
| HANSON, COLLEEN | ASSISTANT VICE PRESIDENT, FINANCIAL AND OPERATIONS PRINCIPAL | 7271134 |
| MURPHY, COLLEEN MARY | DIRECTOR | 4842602 |
| NORBERG, KRISTIN ROUST | VICE PRESIDENT | 7033021 |
| OBERDECK, ANDREW A | ASSISTANT SECRETARY | 8015633 |
| OTTO, JOSEPHINE R | ASSISTANT SECRETARY | 8015301 |
| RABIN, KEVIN WILLIAM | DIRECTOR | 7033042 |
| SANDERS, BARBARA ANN | CHIEF COMPLIANCE OFFICER | 2206030 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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