Scott Roland Hadley
Professional Summary
Scott Roland Hadley, who also goes by Scott R Hadley, Scott Hadley, is a registered financial advisor currently at HIGHTOWER SECURITIES, LLC located in Chicago, Illinois. Scott is registered as a RR (Registered Representative) and started their career in finance in 2008. Scott has worked at 7 firms and has passed the Series 66, Series 57TO, SIE, Series 7, Series 9 and Series 10 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Scott R Hadley, Scott Hadley
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
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.
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.
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
Years of Experience
18 years in the financial services industry
Current & Past Employments
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
Current Firm
CCM EQUITIES, LLC | UNITED FIDUCIARY SECURITIES, LLC | HIGHTOWER SECURITIES, LLC
Contact Information
Main Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414Mailing Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414Phone Number
(312) 962-3800Established
Illinois since 06/28/2001Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HIGHTOWER HOLDING, LLC | PARENT COMPANY | — |
| BESSO, DOUGLAS JOSEPH | CTO | 1530829 |
| COVIELLO, BARRY ANTHONY | EXECUTIVE DIRECTOR, NATIONAL FIELD SUPERVISION | 1813688 |
| GRAY, KENDRA | CHIEF COMPLIANCE OFFICER | 4388082 |
| GRAY, KENDRA | MUNICIPAL PRINCIPAL | 4388082 |
| KARL, MATTHEW JAMES | PRINCIPAL FINANCIAL OFFICER (PFO) & FINOP | 5361093 |
| SANGEKAR, JASON A | CHIEF EXECUTIVE OFFICER | 5159857 |
Disclosures
Regulatory Event
5Arbitration
1Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
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.
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
State Registrations and Notice Filings
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/21/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
(7/17/2025)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jul 2021About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jun 2021About the Series 10 examSRO Registrations
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
CRS (Client Relationship Summary) - BD
Click below to view Scott Roland Hadley's CRS (Customer Relationship Summary).
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
