Scott D. Edwards
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.
Scott Douglas Edwards was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2007. Scott had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 26, 2015 - January 17, 2017
ARK SECURITIES LLC
November 18, 2014 - November 24, 2015
NEW CENTURY CAPITAL PARTNERS, INC.
January 31, 2012 - January 7, 2013
ERNST & YOUNG CAPITAL ADVISORS, LLC
April 13, 2011 - November 29, 2011
CANACCORD GENUITY LLC
January 2, 2008 - December 10, 2010
RODMAN & RENSHAW, LLC
October 30, 2007 - November 27, 2007
LANE CAPITAL MARKETS LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ARK SECURITIES LLC
CRD#: 246787 / SEC#: , 8-69629
Contact information
FINRA licenses (1 States and Territories)
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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