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SH

Scott M. Harrigan

ALTO SECURITIES
Nashville, TN 37203
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CRD#: 4399207
SH

Professional summary


Scott Michael Harrigan is a registered financial professional currently at ALTO SECURITIES, LLC located in Nashville, Tennessee.

Scott is registered as a RR (Registered Representative) and started their career in finance in 2001. Scott has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

top-8-questions

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) - BD


Click below to view Scott Michael Harrigan's CRS (Customer Relationship Summary).
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

April 6, 2023 - Present

ALTO SECURITIES, LLC

Office #1: 500 11th Avenue N Suite 790, Nashville, TN 37203
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.

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
Alabama
(5/3/2023)
RR
Alaska
(6/8/2023)
RR
Arizona
(6/8/2023)
RR
Arkansas
(6/8/2023)
RR
California
(4/18/2023)
RR
Colorado
(4/27/2023)
RR
Connecticut
(6/8/2023)
RR
Delaware
(6/8/2023)
RR
District of Columbia
(6/8/2023)
RR
Florida
(7/6/2023)
RR
Georgia
(4/21/2023)
RR
Hawaii
(6/8/2023)
RR
Idaho
(6/8/2023)
RR
Indiana
(4/12/2023)
RR
Iowa
(6/8/2023)
RR
Kansas
(6/8/2023)
RR
Kentucky
(6/8/2023)
RR
Louisiana
(6/8/2023)
RR
Maine
(6/8/2023)
RR
Maryland
(6/8/2023)
RR
Massachusetts
(5/15/2023)
RR
Michigan
(6/8/2023)
RR
Minnesota
(10/24/2023)
RR
Mississippi
(6/8/2023)
RR
Missouri
(6/8/2023)
RR
Montana
(6/8/2023)
RR
Nebraska
(6/8/2023)
RR
Nevada
(6/8/2023)
RR
New Hampshire
(6/12/2023)
RR
New Jersey
(4/26/2023)
RR
New Mexico
(6/8/2023)
RR
New York
(4/12/2023)
RR
North Carolina
(6/8/2023)
RR
North Dakota
(6/8/2023)
RR
Ohio
(6/8/2023)
RR
Oklahoma
(6/8/2023)
RR
Oregon
(6/8/2023)
RR
Pennsylvania
(6/8/2023)
RR
Rhode Island
(6/8/2023)
RR
South Carolina
(6/8/2023)
RR
South Dakota
(5/10/2023)
RR
Tennessee
(4/19/2023)
RR
Texas
(5/17/2023)
RR
Utah
(6/8/2023)
RR
Vermont
(6/8/2023)
RR
Virginia
(5/15/2023)
RR
Washington
(4/14/2023)
RR
West Virginia
(6/8/2023)
RR
Wisconsin
(6/8/2023)
RR
Wyoming
(6/8/2023)

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
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA

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
(917) 495-8074
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
FRAIOLI, BRIAN MICHAELCCO2792474
HARRIGAN, SCOTT MICHAELCHIEF EXECUTIVE OFFICER / MANAGER4399207
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#: 318536Nashville, TN 37203

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