SC
Scott S. Coby
WELLINGTON FUNDS DISTRIBUTORS
Boston, MA 02210
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CRD#: 6162251
SC
Professional summary
Scott Stanley Allan Coby JR., who also goes by Scott Stanley Allan Colby, is a registered financial professional currently at WELLINGTON FUNDS DISTRIBUTORS INC. located in Boston, Massachusetts.
Scott is registered as a RR (Registered Representative) and started their career in finance in 2013. Scott has worked at 2 firms and has passed the Series 63, Series 7TO, Series 7, Series 32, Series 30 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Scott Stanley Allan Colby
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.
CRS (Client Relationship Summary) - BD
Click below to view Scott Stanley Allan Coby JR.'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®
NoneExperience
Current
December 14, 2022 - Present
WELLINGTON FUNDS DISTRIBUTORS INC.
Office #1: 280 Congress Street, Boston, MA 02210Office #2: 799 Broadway, New York, NY 10003BD
CRD#: 152768
Boston, MA
Past
June 17, 2013 - March 29, 2016
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
New York, NY
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
Alabama(12/15/2022)
RR
Alaska(12/15/2022)
RR
Arizona(12/15/2022)
RR
Arkansas(12/15/2022)
RR
California(12/15/2022)
RR
Colorado(12/15/2022)
RR
Connecticut(12/15/2022)
RR
Delaware(12/15/2022)
RR
District of Columbia(12/15/2022)
RR
Florida(12/15/2022)
RR
Georgia(12/15/2022)
RR
Hawaii(12/15/2022)
RR
Idaho(12/15/2022)
RR
Illinois(12/15/2022)
RR
Indiana(12/15/2022)
RR
Iowa(12/15/2022)
RR
Kansas(12/15/2022)
RR
Kentucky(12/15/2022)
RR
Louisiana(12/15/2022)
RR
Maine(12/15/2022)
RR
Maryland(12/15/2022)
RR
Massachusetts(12/15/2022)
RR
Michigan(12/15/2022)
RR
Minnesota(12/15/2022)
RR
Mississippi(12/15/2022)
RR
Missouri(12/15/2022)
RR
Montana(12/15/2022)
RR
Nebraska(12/15/2022)
RR
Nevada(12/15/2022)
RR
New Hampshire(12/15/2022)
RR
New Jersey(12/15/2022)
RR
New Mexico(12/15/2022)
RR
New York(12/15/2022)
RR
North Carolina(12/15/2022)
RR
North Dakota(12/15/2022)
RR
Ohio(12/15/2022)
RR
Oklahoma(12/15/2022)
RR
Oregon(12/15/2022)
RR
Pennsylvania(12/15/2022)
RR
Rhode Island(12/15/2022)
RR
South Carolina(12/15/2022)
RR
South Dakota(12/15/2022)
RR
Tennessee(12/15/2022)
RR
Texas(12/15/2022)
RR
Utah(12/15/2022)
RR
Vermont(12/15/2022)
RR
Virginia(12/15/2022)
RR
Washington(12/15/2022)
RR
West Virginia(12/15/2022)
RR
Wisconsin(12/15/2022)
RR
Wyoming(12/15/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/13/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WF
WELLINGTON FUNDS DISTRIBUTORS INC.
WELLINGTON FUNDS DISTRIBUTORS INC. | WELLINGTON MANAGEMENT ADVISERS, INC
CRD#: 152768 / SEC#: , 8-68476
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
280 Congress Street, Boston, MA 02210
Mailing Address
280 Congress Street, Boston, MA 02210
Phone number
(617) 951-5000
Established
Delaware since 10/29/2009
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLINGTON MANAGEMENT FUNDS HOLDINGS LLP | HOLDING COMPANY | |
| COYNE, LAURA ANN ESQ. | DIRECTOR | 7053320 |
| GEORGE, JEFFREY BRIAN | DIRECTOR | 8180600 |
| HAVLICEK, DESMOND ANTHONY | DIRECTOR | 2843267 |
| MACKENZIE, BRENDAN MICHAEL | DIRECTOR | 5051963 |
| MARTIN, SARA ANN | CHIEF LEGAL OFFICER | 7469775 |
| MILLEN, SARAH MACKTEZ | CHIEF FINANCIAL OFFICER | 7116565 |
| SHANNON, MARY KEHOE | DIRECTOR | 6439388 |
| SHANNON, MARY KEHOE | PRESIDENT | 6439388 |
| WILLIAMS, ASHLEY LEIGH | CHIEF COMPLIANCE OFFICER | 5498874 |
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
WELLINGTON FUNDS DISTRIBUTORS INC.
CRD#: 152768Boston, MA 02210TRUST BUT VERIFY
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