Scott M. Sipes
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 Michael Sipes, who also goes by Scott M Sipes, Scott Michael Sipes, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2000. Scott had worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 3, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2018 - October 7, 2021
COMPASS CAPITAL CORPORATION
February 16, 2018 - October 7, 2021
COMPASS SECURITIES CORPORATION
March 4, 2016 - January 31, 2018
ALT FUND DISTRIBUTORS LLC
July 20, 2011 - January 4, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 19, 2011 - January 4, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 6, 2009 - November 10, 2009
TRIAD ADVISORS LLC
November 2, 2007 - September 19, 2008
LINCOLN FINANCIAL DISTRIBUTORS, INC.
March 27, 2006 - October 30, 2007
EQUITABLE DISTRIBUTORS, LLC
April 14, 2000 - March 28, 2006
CAPITAL BROKERAGE CORPORATION
Primary Firm SEC Registration
COMPASS CAPITAL CORPORATION
CRD#: 112323 / SEC#: 801-21957
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
Series 7TO
Date: 9/8/2022
General Securities Representative ExaminationSeries 6TO
Date: 9/8/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
COMPASS CAPITAL CORPORATION
CRD#: 112323 / SEC#: 801-21957
Contact information
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,371 |
| AUM (Assets Under Management) | $ 663,564,349 |
Red Flags
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