James F. Scott

MML DISTRIBUTORS

SPRINGFIELD, MA 01111

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CRD#: 5694383

Professional summary

James Felton Scott, who also goes by James Felton Scott Jr, James Scott, is a registered financial professional currently at MML DISTRIBUTORS, LLC located in Springfield, Massachusetts.

James is registered as a RR (Registered Representative) and started their career in finance in 2009. James has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James Felton Scott Jr | James Scott

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Felton Scott'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®

None

Experience

Current

August 2, 2023 - Present

MML DISTRIBUTORS, LLC

Office #1: 1295 State Street, Springfield, MA 01111

CRD#: 38030

SPRINGFIELD, MA

Past

January 18, 2017 - May 3, 2022

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

DOWNERS GROVE, IL

Past

January 17, 2017 - May 3, 2022

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DOWNERS GROVE, IL

Past

March 17, 2014 - November 18, 2016

CAPITAL CLIENT GROUP, INC.

RIA

CRD#: 6247

SAN ANTONIO, TX

Past

September 19, 2012 - November 18, 2016

CAPITAL CLIENT GROUP, INC.

CRD#: 6247

SAN ANTONIO, TX

Past

October 30, 2009 - September 19, 2012

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

CEDAR RAPIDS, IA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Iowa
(8/2/2023)

Exams

State Security Law Exam

IAR

Series 65

Date: 3/17/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/10/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 10/29/2009

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

MML DISTRIBUTORS, LLC

CONNECTICUT MUTUAL FINANCIAL SERVICES, LLC. | MML DISTRIBUTORS, LLC | MML DISTRIBUTORS, LIMITED LIABILITY COMPANY

CRD#: 38030 / SEC#: , 8-48203

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

1295 State Street, Springfield, MA 01111

Mailing Address

1295 State Street, Springfield, MA 01111

Phone number

(413) 737-8400

Established

Connecticut since 11/10/1994

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY	MEMBER
BAGGETTA, VINCENT COSIMO	CHIEF RISK OFFICER	2431743
DUCH III, EDWARD KARL	CHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT	4808341
MASSMUTUAL HOLDING LLC	MEMBER
PUHALA, JAMES	CHIEF COMPLIANCE OFFICER	5290483
RISPOLI, FRANK JOSEPH	CHIEF FINANCIAL OFFICER AND TREASURER	4364402
STEELE, DOUGLAS ROBERT	CHIEF EXECUTIVE OFFICER AND PRESIDENT	5026710

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

James F. Scott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Felton Scott's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

CAPITAL CLIENT GROUP, INC.

CAPITAL CLIENT GROUP, INC.

TRANSAMERICA INVESTORS SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/17/2014

Series 63

Date: 12/10/2009

SIE

Date: 10/1/2018

Series 6

Date: 10/29/2009

FINRA

Current Firm

MML DISTRIBUTORS, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MML DISTRIBUTORS, LLC

TRUST BUT VERIFY

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