Scott Warden
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 Warden, CIMA®, who also goes by L Scott Warden Jr, L. Scott Warden Jr., Lewis Scott Warden Jr., Lewis Scott Warden, Warden, S. Warden, Scott Warden, Warden, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2004. Scott had worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 2020 - October 12, 2020
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
October 4, 2016 - October 8, 2020
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
March 17, 2014 - April 16, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 9, 2014 - April 16, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 22, 2011 - August 15, 2012
NYLIFE SECURITIES LLC
February 5, 2008 - May 20, 2008
UBS FINANCIAL SERVICES INC.
September 17, 2007 - October 9, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 15, 2004 - December 20, 2006
WADDELL & REED
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 7TO
Date: 3/27/2024
General Securities Representative ExaminationCurrent Firm
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
CRD#: 13594 / SEC#: , 8-29504
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TEMPLETON WORLDWIDE, INC. | SHARE HOLDER | |
| CIEPRISZ, KENNETH DAVID | CHIEF COMPLIANCE OFFICER | 2303713 |
| DEAKYNE, WILLIAM SCOTT JR. | SENIOR VICE PRESIDENT AND DIRECTOR | 1861589 |
| GRAY, STEVEN JOEL | ASSISTANT SECRETARY | 849484 |
| MASOM, JEFFREY SCOTT | PRESIDENT AND DIRECTOR | 2870966 |
| PATERSON, DAVID | CHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL | 7001546 |
| PLAFKER, JED ANDREW | DIRECTOR | 2793695 |
| ROSAS, VIRGINIA E | ASSISTANT SECRETARY | 5346920 |
| SHANEYFELT, GWEN LOUISE | TREASURER | 2668221 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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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