Scott J. Rickman

Some features on this profile are disabled

CRD#: 4482060

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 Joseph Rickman, CIMA® was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 2002. Scott had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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®

CIMA^®

Certified Investment Management Analyst

Experience

Past

January 8, 2024 - April 29, 2025

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

September 5, 2014 - March 1, 2022

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

SOUTHPORT, CT

Past

September 5, 2014 - March 1, 2022

J.P. MORGAN SECURITIES LLC

CRD#: 79

SOUTHPORT, CT

Past

March 15, 2012 - April 11, 2014

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

GREENWICH, CT

Past

March 14, 2012 - April 11, 2014

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

GREENWICH, CT

Past

January 23, 2006 - January 8, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

January 23, 2006 - January 8, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

September 17, 2004 - February 6, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

January 8, 2002 - May 14, 2002

TULLETT PREBON FINANCIAL SERVICES LLC

CRD#: 28196

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BNY MELLON SECURITIES CORPORATION

BNY MELLON SECURITIES CORPORATION | THE DREYFUS SERVICE CORPORATION | MBSC SECURITIES CORPORATION | DREYFUS SERVICE CORPORATION

CRD#: 231 / SEC#: 801-54739, 8-13801

RIA

Registered Investment Advisory firm - SEC (7/24/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/11/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/5/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/16/2004

General Securities Representative Examination

Current Firm

BNY MELLON SECURITIES CORPORATION

BNY MELLON SECURITIES CORPORATION | THE DREYFUS SERVICE CORPORATION | MBSC SECURITIES CORPORATION | DREYFUS SERVICE CORPORATION

CRD#: 231 / SEC#: 801-54739, 8-13801

RIA

Registered Investment Advisory firm - SEC (7/24/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

240 Greenwich Street 9th Floor East, New York, NY 10286-0001

Mailing Address

240 Greenwich Street 9th Floor, New York, NY 10286

Phone number

(212) 922-6000

Established

New York since 01/15/1968

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

306

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADV PART 2A APPENDIX 1 WRAP FEE BROCHURE (9/19/2025)

ADV PART 2A FIRM BROCHURE (9/19/2025)

Direct owners and executive officers

Name	Position	CRD#
BNY MELLON INVESTMENT ADVISER, INC.	DIRECT OWNER
BRADLE, KENNETH JAMES	PRESIDENT AND DIRECTOR	1827956
DIPETRILLO, DAVID JOHN	EXECUTIVE VICE PRESIDENT AND DIRECTOR	4904926
MARQUIT, HAL ROBERT	ROSFP (SROP/CROP) & MUNICIPAL SECURITIES PRINCIPAL	1530120
OSAVAGE, JACK EDWARD	CHIEF TECHNOLOGY OFFICER	8186430
PAPADOULIS, IRENE DESPINA	EXECTUVE VICE PRESIDENT AND DIRECTOR	733025
PASQUALE, GREGORY JOHN	CHIEF FINANCIAL OFFICER & TREASURER & FINOP	6562167
PIGOTT, JOSEPH E	CHIEF RISK OFFICER	6619448
ROBINSON, SCOTT JARED	CHIEF LEGAL OFFICER	5396859
SACCONE, ROBERT BRIAN	CHIEF COMPLIANCE OFFICER (BROKERDEALER)	1114349
SQUILLACE, JOHN	CHIEF COMPLIANCE OFFICER (INVESTMENT ADVISORY BUSINESS)	5504616

Regulatory assets under management

Total Number of Accounts	3,823
AUM (Assets Under Management)	$ 7,139,421,698

Disclosures

Regulatory Event	5
Arbitration	8

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2025	Cover Page	Report
08/28/2024	Cover Page	Report
10/27/2023	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Scott J. Rickman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

TULLETT PREBON FINANCIAL SERVICES LLC

Primary Firm SEC Registration

BNY MELLON SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 10/11/2004

Series 63

Date: 3/5/2002

SIE

Date: 10/1/2018

Series 7

Date: 9/16/2004

Current Firm

BNY MELLON SECURITIES CORPORATION

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

BNY MELLON SECURITIES CORPORATION

TRUST BUT VERIFY

Similar Advisors