MS
Michael J. Scott
TRUIST INVESTMENT SERVICES
LITTLE FALLS, NJ
Some features on this profile are disabled
CRD#: 4830916
MS
Professional summary
Michael John Scott is a registered financial professional currently at TRUIST INVESTMENT SERVICES, INC. located in Little Falls, New Jersey.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2004. Michael has worked at 5 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Michael John Scott's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 17, 2021 - Present
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
LITTLE FALLS, NJ
Past
February 23, 2021 - June 29, 2021
BB&T SECURITIES, LLC
BD
CRD#: 142785
RICHMOND, VA
Past
January 2, 2013 - February 17, 2021
BB&T SECURITIES, LLC
BD
CRD#: 142785
NEW YORK, NY
Past
January 5, 2006 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
BD
CRD#: 6255
HASBROUCK HEIGHTS, NJ
Past
February 8, 2005 - January 12, 2006
BERGEN CAPITAL, INC.
BD
CRD#: 46348
HASBROUCK HEIGHTS, NJ
Past
August 20, 2004 - January 31, 2005
ESSEX & YORK, INC.
BD
CRD#: 118495
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/22/2021)
RR
Alaska(2/22/2021)
RR
Arizona(2/22/2021)
RR
Arkansas(2/22/2021)
RR
California(2/17/2021)
RR
Colorado(2/17/2021)
RR
Connecticut(2/17/2021)
RR
Delaware(2/22/2021)
RR
District of Columbia(2/17/2021)
RR
Florida(2/17/2021)
RR
Georgia(2/22/2021)
RR
Hawaii(2/17/2021)
RR
Idaho(2/22/2021)
RR
Illinois(2/17/2021)
RR
Indiana(2/22/2021)
RR
Iowa(2/22/2021)
RR
Kansas(2/22/2021)
RR
Kentucky(2/22/2021)
RR
Louisiana(2/22/2021)
RR
Maine(2/22/2021)
RR
Maryland(2/17/2021)
RR
Massachusetts(2/22/2021)
RR
Michigan(2/22/2021)
RR
Minnesota(2/22/2021)
RR
Mississippi(2/22/2021)
RR
Missouri(2/22/2021)
RR
Montana(2/17/2021)
RR
Nebraska(2/22/2021)
RR
Nevada(2/22/2021)
RR
New Hampshire(2/17/2021)
RR
New Jersey(2/17/2021)
RR
New Mexico(2/17/2021)
RR
New York(2/17/2021)
RR
North Carolina(2/17/2021)
RR
North Dakota(2/22/2021)
RR
Ohio(2/22/2021)
RR
Oklahoma(2/22/2021)
RR
Oregon(2/17/2021)
RR
Pennsylvania(2/17/2021)
RR
Puerto Rico(2/22/2021)
RR
Rhode Island(2/22/2021)
RR
South Carolina(2/17/2021)
RR
South Dakota(2/22/2021)
RR
Tennessee(2/22/2021)
RR
Texas(2/17/2021)
RR
Utah(2/22/2021)
RR
Vermont(2/17/2021)
RR
Virgin Islands(2/22/2021)
RR
Virginia(2/17/2021)
RR
Washington(2/22/2021)
RR
West Virginia(2/22/2021)
RR
Wisconsin(2/22/2021)
RR
Wyoming(2/22/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TI
TRUIST INVESTMENT SERVICES, INC.
ALEXANDER KEY | TRUIST INVESTMENT SERVICES, INC. | SUNTRUST SECURITIES, INC. | SUNTRUST SECURITIES INC | SUNTRUST INVESTMENT SERVICES, INC. | SUNTRUST BROKERAGE SERVICES, INC.
CRD#: 17499 / SEC#: 801-56443, 8-35355
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta 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
303 Peachtree Street Suntrust Garden Offices Suite 140, Atlanta, GA 30303
Mailing Address
303 Peachtree Street 2nd Floor, Atlanta, GA 30303
Phone number
(800) 874-4770
Established
Georgia since 11/27/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | HOLDING COMPANY | |
| CALLENDER, EVELYN MICHELLE | TREASURER AND CHIEF FINANCIAL OFFICER | 7591739 |
| CENTENO, PATRICIA REED | DEPUTY CHIEF COMPLIANCE OFFICER | 2239528 |
| COBBS, JENI RACHEL | COMPLIANCE OFFICER | 4354424 |
| CRAM, BRYAN SCOTT | VICE CHAIRMAN/EXECUTIVE VICE PRESIDENT | 2723431 |
| DOWHOWER, BRIAN SEAN | CHAIRMAN/PRESIDENT/CHIEF EXECUTIVE OFFICER | 4202574 |
| DUNN, JEFFREY TODD | DIRECTOR/EXECUTIVE VICE PRESIDENT | 4228631 |
| HECHTLINGER, SUSAN | DIRECTOR/CHIEF COMPLIANCE OFFICER/SENIOR VICE PRESIDENT | 2890466 |
| MAVICO, CECILIA BAUTE | SENIOR VICE CHAIRMAN/CHIEF OPERATING OFFICER/CORPORATE SECRETARY | 3261303 |
| NORMAN, ANNMARIE CARROLL | COMPLIANCE OFFICER | 2993726 |
| TYSON, TONYA | CHIEF OPERATIONS OFFICER/SENIOR VICE PRESIDENT/ASSISTANT CORPORATE SECRETARY | 1987448 |
| WEHINGER, LEAH ROWE | DIRECTOR/EXECUTIVE VICE PRESIDENT | 1719505 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 14 |
| Bond | 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.
