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SH

Scott M. Harrigan

Some features on this profile are disabled
CRD#: 4399207
SH

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 Michael Harrigan was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 2001. Scott had worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 6, 2023 - February 27, 2026

ALTO SECURITIES, LLC

BD
CRD#: 318536
Nashville, TN
Past

January 15, 2021 - March 13, 2023

SECURITIZE MARKETS, LLC

BD
CRD#: 283256
Austin, TX
Past

August 21, 2017 - April 26, 2019

CARTA SECURITIES, LLC

BD
CRD#: 282086
New York, NY
Past

January 3, 2011 - June 4, 2014

GEORGESON SECURITIES CORPORATION

BD
CRD#: 46749
EDISON, NJ
Past

October 11, 2004 - December 31, 2010

COMPUTERSHARE SECURITIES CORPORATION

BD
CRD#: 107023
EDISON, NJ
Past

June 7, 2001 - February 20, 2004

COMPUTERSHARE SECURITIES CORPORATION

BD
CRD#: 107023
CHICAGO, IL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/17/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/6/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/26/2001
General Securities Principal Examination

Current Firm

AS
ALTO SECURITIES, LLC
ALTO SECURITIES, LLC

CRD#: 318536 / SEC#: , 8-70863

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

Main Address
500 11th Avenue N Suite 790, Nashville, TN 37203
Mailing Address
500 11th Avenue N Suite 790, Nashville, TN 37203
Phone number
(732) 609-4758
Established
Delaware since 12/20/2019
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

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ALTO SOLUTIONS, INC.OWNER
HARRIGAN, SCOTT MICHAELCHIEF EXECUTIVE OFFICER / MANAGER4399207
MIELE, DOMENICCHIEF COMPLIANCE OFFICER6032198
ROMERO, MONIQUE VICTORIAFINOP / PFO / POO

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

ALTO SECURITIES, LLC

CRD#: 318536

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