Scott G. Shurpin
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 Gordon Shurpin, who also goes by Scott G Shurpin, Scott Shurpin, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2001. Scott had worked at 4 firms and has passed the Series 63, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 2012 - January 29, 2013
DAVID LERNER ASSOCIATES, INC.
September 24, 2010 - February 28, 2011
MSI FINANCIAL SERVICES, INC.
June 6, 2002 - August 20, 2002
METROPOLITAN LIFE INSURANCE COMPANY
June 6, 2002 - August 20, 2002
MSI FINANCIAL SERVICES, INC.
October 10, 2001 - November 16, 2001
RUMSON CAPITAL, 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
Exams
Series 55
Date: 9/12/2001
Limited Representative-Equity Trader ExamCurrent Firm
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
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.
