Brenda 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.
Brenda Scott, who also goes by Brenda Ruth Botens, Brenda Botens, Brenda R Hawkins, Brenda Ruth Hawkins, was a registered financial professional .
Brenda is a previously registered financial professional and started their career in finance in 2008. Brenda had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2018 - September 5, 2019
CUNA BROKERAGE SERVICES, INC.
July 13, 2018 - September 5, 2019
CUNA BROKERAGE SERVICES, INC.
August 21, 2017 - July 11, 2018
CUSO FINANCIAL SERVICES, L.P.
August 21, 2017 - July 11, 2018
CUSO FINANCIAL SERVICES, L.P.
August 10, 2017 - August 23, 2017
PFS INVESTMENTS INC.
October 8, 2015 - August 23, 2017
PFS INVESTMENTS INC.
May 30, 2013 - August 12, 2015
J.P. MORGAN SECURITIES LLC
October 1, 2012 - August 12, 2015
J.P. MORGAN SECURITIES LLC
June 25, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
October 6, 2008 - June 26, 2009
PFS INVESTMENTS 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
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
