Scott O. Derry
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 O Derry was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2009. Scott had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 2013 - November 17, 2015
AXIOM CAPITAL MANAGEMENT, INC.
September 28, 2012 - June 5, 2013
DIVINE CAPITAL MARKETS LLC
July 27, 2009 - September 28, 2012
WESTPARK WEALTH ADVISORS, INC.
June 22, 2009 - September 28, 2012
IMS SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AXIOM CAPITAL MANAGEMENT, INC.
CRD#: 26580 / SEC#: , 8-42638
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
