Carl R. Scotti
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.
Carl Raymond Scotti was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1970. Carl had worked at 16 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2013 - January 2, 2014
RAFFERTY CAPITAL MARKETS, LLC
March 19, 2012 - July 22, 2013
SANDGRAIN SECURITIES LLC
December 1, 2010 - March 15, 2012
GRIGSBY & ASSOCIATES, INC.
October 7, 2010 - November 29, 2010
SECUREVEST FINANCIAL GROUP
September 12, 2008 - October 7, 2010
SOUND SECURITIES, LLC
July 1, 2004 - November 21, 2006
J.P. MORGAN SECURITIES INC.
April 1, 1999 - July 1, 2004
BANC ONE CAPITAL MARKETS, INC.
August 29, 1996 - April 1, 1999
BANC ONE CAPITAL MARKETS, INC.
June 25, 1991 - August 12, 1996
FINANCIAL SQUARE PARTNERS
July 20, 1990 - June 6, 1991
CHASE SECURITIES, INC.
April 16, 1984 - March 13, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
January 31, 1980 - May 22, 1984
UBS FINANCIAL SERVICES INC.
February 10, 1977 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
April 11, 1975 - July 18, 1975
JII SECURITIES INC.
March 17, 1971 - September 24, 1973
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
August 21, 1970 - April 3, 1971
KOHLMEYER & CO.
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 1
Date: 11/15/1968
Registered Representative ExaminationCurrent Firm
RAFFERTY CAPITAL MARKETS, LLC
CRD#: 23682 / SEC#: , 8-40605
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAFFERTY HOLDINGS, LLC | DIRECT OWNER | |
| HAY, KATHLEEN RAFFERTY | PRESIDENT | 5045127 |
| GOODE, JACQUELINE MARIE | FINOP | 1292607 |
| GOODE, JACQUELINE MARIE | PRINCIPAL FINANCIAL OFFICER | 1292607 |
| JAMES, SHARI | CFO | 7516372 |
| MARTENS, BARBARA LAUDISI | PRINCIPAL OPERATIONS OFFICER | 2992393 |
| MARTENS, BARBARA LAUDISI | CHIEF COMPLIANCE OFFICER | 2992393 |
Disclosures
| Regulatory Event | 6 |
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.
