Kevin R. Scott
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.
Kevin Reed Scott was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2007. Kevin had worked at 3 firms and has passed the Series 63 and Series 37 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 2010 - August 24, 2012
RICHARDSON GMP (USA) CORP.
May 15, 2008 - August 17, 2010
VENTUM FINANCIAL (US) CORP.
December 10, 2007 - April 25, 2008
THOMAS WEISEL PARTNERS (USA) 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
Series 37
Date: 12/7/2007
Canada Module of the General Securities Registered Representative (With Options Questions)Current Firm
RICHARDSON GMP (USA) CORP.
CRD#: 104204 / SEC#: , 8-52658
Contact information
Documents
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.
