Barry S. Stott
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.
Barry Swayne Stott was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1974. Barry had worked at 14 firms and has passed the Series 7 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
January 16, 2008 - October 10, 2012
FINANCIAL WEST GROUP
September 28, 2004 - January 16, 2008
THE SHEMANO GROUP, INC.
January 23, 2002 - September 17, 2004
CROWN CAPITAL SECURITIES, L.P.
June 24, 1994 - August 10, 2001
J. ALEXANDER SECURITIES, INC.
February 5, 1990 - June 3, 1994
THOMAS GREEN SECURITIES, INC.
October 10, 1989 - February 7, 1990
T.R. WINSTON & COMPANY, LLC
April 29, 1987 - October 13, 1989
C. L. MCKINNEY & CO., INC.
December 17, 1984 - April 16, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 25, 1982 - September 1, 1983
SUTRO & CO. INCORPORATED
May 6, 1980 - May 12, 1982
KIDDER, PEABODY & CO. INCORPORATED
February 24, 1978 - May 18, 1980
MORGAN STANLEY DW INC.
January 19, 1977 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
March 23, 1976 - December 24, 1976
BUTCHER & SINGER INC.
October 15, 1974 - June 25, 1976
JONES FALLS SECURITIES INC.
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: 10/1/1974
Registered Representative ExaminationCurrent Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
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.
