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SW

Scott C. Wellington

GUGGENHEIM INVESTOR SERVICES
Stamford, CT 06902
Some features on this profile are disabled
CRD#: 6542122
SW

Professional summary

Scott Conway Wellington is a registered financial professional currently at GUGGENHEIM INVESTOR SERVICES, LLC located in Stamford, Connecticut.

Scott is registered as a RR (Registered Representative) and started their career in finance in 2015. Scott has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Scott Conway Wellington'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®
None

Experience

Current

August 19, 2022 - Present

GUGGENHEIM INVESTOR SERVICES, LLC

Office #1: 100 First Stamford Place Suite 610, Stamford, CT 06902
BD
CRD#: 30096
Stamford, CT
Past

November 24, 2015 - August 23, 2022

WOLFE RESEARCH SECURITIES

BD
CRD#: 151850
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
Connecticut
(8/19/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 5/18/2021
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: 11/24/2015
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

GI
GUGGENHEIM INVESTOR SERVICES, LLC
GUGGENHEIM INVESTMENTS | INTER-ATLANTIC SECURITIES CORPORATION | GUGGENHEIM SECURITIES, LLC | GUGGENHEIM PARTNERS | GUGGENHEIM INVESTOR SERVICES, LLC

CRD#: 30096 / SEC#: , 8-44742

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

Main Address
330 Madison Avenue, New York, NY 10017
Mailing Address
330 Madison Avenue, New York, NY 10017
Phone number
(212) 901-9405
Established
Delaware since 12/31/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
GUGGENHEIM FUNDS SERVICES, LLCMEMBER
CHAN, YING ZPRINCIPAL FINANCIAL AND OPERATIONS OFFICER4956885
DILORENZO, DINA MARIEMANAGING EXECUTIVE2664787
SAPERSTEIN, ROBERT ANDREWCHIEF COMPLIANCE OFFICER2567876

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

GUGGENHEIM INVESTOR SERVICES, LLC

CRD#: 30096Stamford, CT 06902

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