Scott Principi
Professional summary
Scott Principi is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Scott Principi's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 17, 2007 - Present
WYSER-PRATTE & CO., INC.
Office #1: 100 S. Bedford Road, Suite 312, Mt. Kisco, NY 10549Office #2: 100 S. Bedford Road, Suite 312, Mt. Kisco, NY 10549May 4, 2006 - January 17, 2007
DIMENSION BROKERAGE, LLC
June 27, 2005 - May 10, 2006
FIS BROKERAGE & SECURITIES SERVICES 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
(4/6/2007)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/19/2007
Limited Representative-Equity Trader ExamFINRA
Current Firm
WYSER-PRATTE & CO., INC.
CRD#: 28056 / SEC#: , 8-43418
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 3 |
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