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LS

Lionel D. Scott

Some features on this profile are disabled
CRD#: 4738213
LS

Professional summary

Lionel Darnell Scott was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Lionel is a previously registered financial professional and started their career in finance in 2004. Prior to being barred, Lionel had worked at 6 firms, which includes ARIVE CAPITAL MARKETS, CAPE SECURITIES INC., SW FINANCIAL, SYNERGY INVESTMENT GROUP LLC, GUNNALLEN FINANCIAL INC, MILESTONE FINANCIAL SERVICES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Larry Scott

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®
None

Experience

Past

June 9, 2016 - November 8, 2019

ARIVE CAPITAL MARKETS

BD
CRD#: 8060
Coram, NY
Past

May 29, 2015 - June 23, 2016

CAPE SECURITIES INC.

BD
CRD#: 7072
Coram, NY
Past

June 26, 2014 - May 27, 2015

SW FINANCIAL

BD
CRD#: 145012
FARMINGDALE, NY
Past

September 23, 2011 - October 15, 2013

CAPE SECURITIES INC.

BD
CRD#: 7072
HOLBROOK, NY
Past

October 6, 2009 - October 6, 2011

SYNERGY INVESTMENT GROUP, LLC

BD
CRD#: 46035
ROCKY POINT, NY
Past

August 5, 2008 - October 26, 2009

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
ROCKY POINT, NY
Past

January 12, 2004 - August 4, 2008

MILESTONE FINANCIAL SERVICES, INC.

BD
CRD#: 43295
ROCKY POINT, NY

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.

Exams

State Security Law Exam
RR
Series 63
Date: 4/29/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/9/2004
General Securities Representative Examination

Current Firm

AC
ARIVE CAPITAL MARKETS
ARIVE CAPITAL MARKETS | REID AND ASSOCIATES, LLC | REID AND ASSOCIATES | REID & GILMOUR

CRD#: 8060 / SEC#: , 8-43350

BD
Terminated by SEC on 07/02/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 10/01/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LIBERTY VIEW HOLDINGS LLCDIRECT OWNER
ARIVE HOLDINGS, LLCDIRECT OWNER
UNIFIED WEALTH MANAGEMENT LLCDIRECT OWNER
KRISPEAL, RAQUEL ECCO5733217
SULLIVAN, THOMAS FRANCISCFO/FINOP1145000

Disclosures

Regulatory Event3

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.

Company Information

ARIVE CAPITAL MARKETS

CRD#: 8060

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