ST
Scott J. Tallman
BELLE HAVEN INVESTMENTS, L.P.
Rye Brook, NY 10573-1301
Some features on this profile are disabled
CRD#: 5466990
ST
Professional summary
Scott Joseph Tallman, who also goes by Scott J Tallman, is a registered financial advisor currently at BELLE HAVEN INVESTMENTS, L.P. located in Rye Brook, New York.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Scott has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Scott J Tallman
Other business activities
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.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Joseph Tallman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Scott Joseph Tallman's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 6, 2018 - Present
BELLE HAVEN INVESTMENTS, L.P.
Office #1: 800 Westchester Avenue Suite N607, Rye Brook, NY 10573-1301Office #2: 800 Westchester Avenue Suite N607, Rye Brook, NY 10573RIA
BD
CRD#: 29278
Rye Brook, NY
Current
July 27, 2017 - Present
BELLE HAVEN INVESTMENTS, L.P.
Office #1: 800 Westchester Avenue Suite N607, Rye Brook, NY 10573-1301Office #2: 800 Westchester Avenue Suite N607, Rye Brook, NY 10573RIA
BD
CRD#: 29278
Rye Brook, NY
Past
January 5, 2017 - June 30, 2017
CROSSMARK GLOBAL INVESTMENTS, INC.
RIA
CRD#: 113360
HOUSTON, TX
Past
December 19, 2008 - June 30, 2017
CROSSMARK DISTRIBUTORS, INC.
BD
CRD#: 14970
HOUSTON, TX
Past
October 27, 2008 - November 14, 2008
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
HOUSTON, TX
Past
January 1, 2008 - August 8, 2008
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
BREA, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BH
BELLE HAVEN INVESTMENTS, L.P.
BELL HAVEN INVESTMENTS, L.P. | BELLE HAVEN INVESTMENTS, L.P. | BELLE HAVEN INVESTMENTS, INC. | BELLE HAVEN INVESTMENTS
CRD#: 29278 / SEC#: 801-62290, 8-44222
RIA
Registered Investment Advisory firm - SEC (1/26/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (2/16/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (2/16/2006 Terminated)Maryland
Registered Investment Advisory firm - SEC (2/16/2006 Terminated)New York
Registered Investment Advisory firm - SEC (2/16/2006 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (2/16/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
New York(7/27/2017)
IAR
New York(2/23/2021)
RR
Texas(8/6/2018)
IAR
Texas(8/6/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BH
BELLE HAVEN INVESTMENTS, L.P.
BELL HAVEN INVESTMENTS, L.P. | BELLE HAVEN INVESTMENTS, L.P. | BELLE HAVEN INVESTMENTS, INC. | BELLE HAVEN INVESTMENTS
CRD#: 29278 / SEC#: 801-62290, 8-44222
RIA
Registered Investment Advisory firm - SEC (1/26/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (2/16/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (2/16/2006 Terminated)Maryland
Registered Investment Advisory firm - SEC (2/16/2006 Terminated)New York
Registered Investment Advisory firm - SEC (2/16/2006 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (2/16/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
800 Westchester Avenue Suite N607, Rye Brook, NY 10573-1301
Mailing Address
800 Westchester Avenue Suite N607, Rye Brook, NY 10573
Phone number
(914) 816-4633
Established
Connecticut since 03/13/2001
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees
47
SEC notice filing (53 States and Territories)
FINRA licenses (34 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 24,433 |
| AUM (Assets Under Management) | $ 20,380,202,747 |
Disclosures
| Regulatory Event | 4 |
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.
