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TS

Thomas J. Scott

FDX CAPITAL LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 4345561
TS

Professional summary

Thomas Jake Scott, who also goes by Jake Scott, Thomas John Scott, Thomas Jake Scott, is a registered financial professional currently at FDX CAPITAL LLC located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2005. Thomas has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jake Scott | Thomas John Scott | Thomas Jake Scott

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Jake Scott's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 17, 2013 - Present

FDX CAPITAL LLC

Office #1: 515 Madison Avenue 24th Floor, New York, NY 10022
BD
CRD#: 119302
New York, NY
Past

April 8, 2009 - May 10, 2012

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
WESTPORT, CT
Past

December 7, 2005 - March 11, 2009

NEW ENGLAND SECURITIES

BD
CRD#: 615
WESTPORT, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(5/20/2013)
RR
New York
(5/30/2013)

Exams

State Security Law Exam
RR
Series 63
Date: 2/21/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 12/6/2005
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FC
FDX CAPITAL LLC
DOUGLAS FINANCIAL LLC | FDX CAPITAL LLC

CRD#: 119302 / SEC#: , 8-65170

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
515 Madison Avenue 24th Floor, New York, NY, 10022
Mailing Address
515 Madison Avenue 24th Floor, New York, NY, 10022
Phone number
(888) 814-8180
Established
New Jersey since 10/10/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
JAMES ALPHA HOLDINGS, LLCMANAGING MEMBER
GREENE, KEVIN ROBERTCEO1295699
MONTAGUE, MICHAELOPERATIONS OFFICER5121305
PREVEZA, DOUGLAS JOHNCHIEF COMPLIANCE OFFICER2692333
SMITH, ELIZABETH ANNEFINOP/PRINCIPAL FINANCIAL OFFICER1960549

Disclosures

Regulatory Event2

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.

Company Information

FDX CAPITAL LLC

CRD#: 119302New York, NY 10022

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