Scott W. Anderson
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.
Scott Winfree Anderson, who also goes by Scott W Anderson, Scott Winfree Anderson, Scott Anderson, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2010. Scott had worked at 6 firms and has passed the Series 57TO, SIE, Series 14 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2023 - June 30, 2026
CANACCORD GENUITY LLC
November 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 ExamCurrent 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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Check for any disclosures as part of your thorough research when choosing an advisor.
