Raoul F. 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.
Raoul Frederick Scott, who also goes by Raoul Scott, Raoul Frederick Scott, was a registered financial professional .
Raoul is a previously registered financial professional and started their career in finance in 2011. Raoul had worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 3 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
June 21, 2022 - August 22, 2022
CASTLE HILL CAPITAL PARTNERS, INC.
December 23, 2021 - May 24, 2022
CLEAR STREET LLC
March 11, 2019 - November 29, 2021
STONEX FINANCIAL INC.
September 14, 2017 - October 18, 2018
COWEN PRIME SERVICES LLC
July 24, 2014 - December 31, 2017
COWEN EXECUTION SERVICES LLC
October 11, 2011 - September 2, 2014
CONVERGEX PRIME SERVICES LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
CASTLE HILL CAPITAL PARTNERS, INC.
CRD#: 44131 / SEC#: , 8-50550
Contact information
FINRA licenses (40 States and Territories)
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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