Scott Muldoon
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 Muldoon, who also goes by Scott Andrew Muldoon, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2014. Scott had worked at 5 firms and has passed the Series 66, Series 57TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2021 - January 25, 2022
ALLY INVEST SECURITIES LLC
May 13, 2020 - May 14, 2021
BEECH HILL SECURITIES, INC.
April 11, 2017 - May 14, 2019
MORGAN STANLEY
April 10, 2017 - May 14, 2019
MORGAN STANLEY
June 15, 2015 - March 17, 2017
UBS FINANCIAL SERVICES INC.
June 5, 2015 - March 17, 2017
UBS FINANCIAL SERVICES INC.
April 28, 2014 - January 20, 2015
TRIAD SECURITIES CORP
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 8/19/2020
Securities Trader ExamCurrent Firm
ALLY INVEST SECURITIES LLC
CRD#: 136131 / SEC#: , 8-66982
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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