Scott Harvey
Professional summary
Scott Harvey, who also goes by Scott Ragsdale Harvey, Scott Harvey, is a registered financial professional currently at CAPFINANCIAL SECURITIES, LLC. located in New York, New York.
Scott is registered as a RR (Registered Representative) and started their career in finance in 2017. Scott has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Scott Harvey's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 5, 2019 - Present
CAPFINANCIAL SECURITIES, LLC.
Office #1: 40 Wall Street 56th Floor, New York, NY 10005August 30, 2017 - December 6, 2018
FIDELITY BROKERAGE 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
(3/17/2025)
(2/5/2019)
Exams
FINRA
Current Firm
CAPFINANCIAL SECURITIES, LLC.
CRD#: 126291 / SEC#: , 8-65870
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE CAPFINANCIAL GROUP, LLC | MEMBER | |
| BUCHANAN, DENISE MCGEE | CCO/MUNI PRINCIPAL/SENIOR DIRECTOR/FINOP/PFO/POO | 1284353 |
| EARLS, MARY CHRISTINE | SENIOR DIRECTOR/FINOP | 6178047 |
| HOYLE, WILSON SMITH III | MANAGING DIRECTOR | 2444392 |
| SHOFF, DERICK DON | MANAGING DIRECTOR | 1140640 |
| STROTHER, MICHAEL DAVID | SENIOR DIRECTOR, FINOP | 2457427 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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