Ian S. Lindsay
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.
Ian Scott Lindsay was a registered financial professional .
Ian is a previously registered financial professional and started their career in finance in 2004. Ian had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 72 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2017 - August 2, 2018
MD GLOBAL PARTNERS, LLC
March 4, 2015 - November 24, 2015
MIZUHO SECURITIES USA LLC
September 8, 2010 - January 23, 2015
GUGGENHEIM SECURITIES, LLC
April 10, 2009 - May 13, 2009
ACCESS SECURITIES, LLC
January 12, 2006 - July 25, 2006
GH TRADERS LLC
April 15, 2004 - December 20, 2005
ROSENTHAL GLOBAL SECURITIES 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
Series 72
Date: 11/24/2003
Government Securities Representative ExaminationCurrent Firm
MD GLOBAL PARTNERS, LLC
CRD#: 140988 / SEC#: , 8-67356
Contact information
FINRA licenses (17 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
