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Nicholas H. Scott

GOLDMAN SACHS CUSTODY SOLUTIONS
Dallas, TX 75201
Some features on this profile are disabled
CRD#: 5716160
NS

Professional summary

Nicholas Hunter Scott, who also goes by Nick Hunter Scott, is a registered financial professional currently at GOLDMAN SACHS CUSTODY SOLUTIONS located in Dallas, Texas.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2017. Nicholas has worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nick Hunter 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 Nicholas Hunter Scott's CRS (Customer Relationship Summary).
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 22, 2017 - Present

GOLDMAN SACHS CUSTODY SOLUTIONS

Office #1: 2001 Ross Avenue Suite 2800, Dallas, TX 75201
BD
CRD#: 48015
Dallas, TX

State Registrations and Notice Filings

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

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
Colorado
(8/22/2017)
RR
Virginia
(10/9/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 10/9/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/22/2017
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

GS
GOLDMAN SACHS CUSTODY SOLUTIONS
DIRECTINDEXER | VIA FOLIO | GOLDMAN SACHS CUSTODY SOLUTIONS | FOLIO[FN] INVESTMENTS, INC. | FOLIOTRADE BROKERAGE LLC | FOLIOFN INVESTMENTS, INC. | FOLIOFIRST | FOLIO RESEARCH, LLC | FOLIO RESEARCH | FOLIO INVESTMENTS, INC. | FOLIO INVESTING | FOLIO INSTITUTIONAL | FOLIO CLIENT

CRD#: 48015 / SEC#: , 8-52009

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
8180 Greensboro Dr 8th Floor, Mclean, VA 22102
Mailing Address
8180 Greensboro Dr 8th Floor, Mclean, VA 22102
Phone number
(703) 245-4000
Established
Virginia since 01/10/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FOLIO FINANCIAL, INC. (D/B/A GOLDMAN SACHS CS HOLDINGS)100 % SHAREHOLDER
CHOKSI, ANISH PARENCHIEF COMPLIANCE OFFICER6506840
EISENSTEIN, JEREMY SCHIEF EXECUTIVE OFFICER & PRESIDENT4972748
FYFFE, JAMES COMPEAUCHIEF FINANCIAL OFFICER, FINOP & PFO2619159
GERAGHTY, PETER RICHARDGENERAL COUNSEL4930752
GREEFF, BRIAN MICHAELCOO & POO4273392
SIEGLER, ADAM JAMESMANAGING DIRECTOR5112351

Disclosures

Regulatory Event6
Arbitration1

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.

Company Information

GOLDMAN SACHS CUSTODY SOLUTIONS

CRD#: 48015Dallas, TX 75201

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