Scott R. Brindley
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 Richard Brindley, who also goes by Scott Richard Bridley, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2003. Scott had worked at 2 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 26, 2004 - May 7, 2008
CAPSTONE TRADING L.L.C.
October 16, 2003 - January 9, 2004
MAKO GLOBAL DERIVATIVES LLC
September 26, 2003 - June 18, 2004
MAKO GLOBAL DERIVATIVES LLC
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
Current Firm
CAPSTONE TRADING L.L.C.
CRD#: 131785 / SEC#: , 8-66501
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPSTONE HOLDINGS GROUP, LLC | MEMBER | |
| BRITTON, PAUL MATTHEW | EXECUTIVE OFFICER | |
| GONZALEZ, MARK BRANDON | CHIEF OPERATIONS OFFICER | |
| MCGANN, ROBERT VINCENT | HEAD CONTROLLER | 4814733 |
Disclosures
| Regulatory Event | 2 |
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.
