Scott Thayer
Professional summary
Scott Thayer, who also goes by Scott Alan Thayer, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Covington, Kentucky.
Scott is registered as a RR (Registered Representative) and started their career in finance in 2007. Scott has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Scott Thayer's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 11, 2001 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 100 Crosby Parkway, Covington, KY 41015October 29, 2007 - December 31, 2014
STRATEGIC ADVISERS 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
What does exam status mean?
Series 10
Passed: 8/1/2006
Series 9
Passed: 4/24/2006
FINRA
New York Stock Exchange
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| KRUGMAN, JOSHUA D | HEAD OF BROKERAGE PRODUCT & OFFERINGS | 4461267 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 24 |
| Arbitration | 129 |
Red Flags
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