Scott Y. Choi
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 Young Choi was a registered financial advisor .
Scott is a previously registered financial advisor and started their career in finance in 2001. Scott had worked at 5 firms and has passed the Series 66, Series 63, Series 31, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 2008 - July 28, 2008
FIS BROKERAGE & SECURITIES SERVICES LLC
August 10, 2007 - August 28, 2007
FIS BROKERAGE & SECURITIES SERVICES LLC
May 25, 2007 - August 1, 2007
MORGAN STANLEY & CO. LLC
May 16, 2007 - August 1, 2007
MORGAN STANLEY & CO. LLC
January 9, 2007 - February 12, 2007
ECHOTRADE LLC
July 6, 2006 - October 11, 2006
TAFFERER TRADING, LLC
April 13, 2006 - June 27, 2006
ECHOTRADE LLC
October 22, 2003 - July 6, 2005
FIS BROKERAGE & SECURITIES SERVICES LLC
May 3, 2002 - October 21, 2003
WORLDCO, L.L.C.
June 20, 2001 - March 22, 2002
WORLDCO, L.L.C.
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 55
Date: 6/26/2001
Limited Representative-Equity Trader ExamCurrent Firm
FIS BROKERAGE & SECURITIES SERVICES LLC
CRD#: 104162 / SEC#: , 8-52614
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIS CAPITAL MARKETS US LLC | SOLE MEMBER | |
| DAMIS, JENEL CARIMA | CHIEF COMPLIANCE OFFICER | 3261583 |
| HECKER, STEVEN MICHAEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3088510 |
| PETERS, DAVID TODD | BOARD MEMBER, ASSISTANT SECRETARY | 7798286 |
| VOGEL, MICHAEL FRANCIS | CHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY | 2814935 |
Disclosures
| Regulatory Event | 23 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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