Scott W. Anderson
Professional summary
Scott Winfree Anderson, who also goes by Scott W Anderson, Scott Winfree Anderson, Scott Anderson, is a registered financial professional currently at CANACCORD GENUITY LLC located in New York, New York.
Scott is registered as a RR (Registered Representative) and started their career in finance in 2010. Scott has worked at 6 firms and has passed the Series 57TO, SIE, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Scott Winfree Anderson's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 2, 2023 - Present
CANACCORD GENUITY LLC
Office #1: One Pennsylvania Plaza Suite 2900, New York, NY 10119November 18, 2021 - August 4, 2023
CREDIT AGRICOLE SECURITIES (USA) INC.
December 6, 2019 - July 1, 2021
SG AMERICAS SECURITIES, LLC
September 3, 2019 - December 4, 2019
UBS FINANCIAL SERVICES INC.
July 12, 2019 - August 30, 2019
UBS FINANCIAL SERVICES INC.
November 19, 2015 - September 4, 2019
UBS SECURITIES LLC
February 9, 2012 - May 5, 2015
NATIONAL FINANCIAL SERVICES LLC
August 18, 2010 - February 3, 2012
UBS SECURITIES 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 57TO
Date: 1/2/2023
Securities Trader ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
Current Firm
CANACCORD GENUITY LLC
CRD#: 1020 / SEC#: , 8-3271
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANACCORD ADAMS (DELAWARE) INC. | PARENT | |
| ANDERSON, SCOTT WINFREE | CHIEF COMPLIANCE OFFICER | 5800524 |
| BARLOW, JEFFREY GRIFFIN | CHIEF EXECUTIVE OFFICER, PRESIDENT, EXECUTIVE DIRECTOR | 2277052 |
| DAVIAU, DANIEL JOSEPH | NON- EXECUTIVE DIRECTOR | 6096472 |
| MACFAYDEN, DONALD DUNCAN | EXECUTIVE DIRECTOR, CFO & FINANCIAL & OPERATIONS PRINCIPAL | 5390198 |
| PARDI SQUITIERI, JENNIFER ELLEN | EXECUTIVE DIRECTOR | 4922719 |
| PROUD, EMILY PRESSMAN | CHIEF OPERATING OFFICER | 5815542 |
| TEIPNER, LARISSA KYLE | US GENERAL COUNSEL |
Disclosures
| Regulatory Event | 45 |
| Bond | 1 |
Red Flags
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