Scott Principi
Professional Summary
Scott Principi is a registered financial advisor currently at WYSER-PRATTE & CO., INC. located in Mt. Kisco, New York. Scott is registered as a RR (Registered Representative) and started their career in finance in 2005. Scott has worked at 3 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 14, Series 24 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
21 years in the financial services industry
Current & Past Employments
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Current Firm
WYSER-PRATTE & CO., INC.
Contact Information
Main Address
100 S. Bedford Road, Suite 312, Mt. Kisco, NY 10549Mailing Address
100 S. Bedford Road, Suite 312, Mt. Kisco, NY 10549Phone Number
(843) 819-1792Established
New York since 01/02/1991Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(4/6/2007)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Apr 2007SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Scott Principi's CRS (Customer Relationship Summary).
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