Scott Everett Levy
Professional Summary
Scott Everett Levy, who also goes by Scott Levy, is a registered financial advisor 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 2016. Scott has worked at 2 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Scott Levy
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
10 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
ADAMS HARKNESS, INC. | CANACCORD GENUITY LLC. | CANACCORD GENUITY LLC | CANACCORD GENUITY INC. | CANACCORD ADAMS INC. | ADAMS, HARKNESS & HILL, INC.
Contact Information
Main Address
One Pennsylvania Plaza Suite 2900, New York, NY 10119Mailing Address
One Pennsylvania Plaza Suite 2900, New York, NY 10119Phone Number
(212) 389-8000Established
Delaware since 02/26/2004Firm Type
Limited Liability CompanyFiscal Year End
MarchFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANACCORD ADAMS (DELAWARE) INC. | PARENT | — |
| DAVIAU, DANIEL JOSEPH | CHIEF EXECUTIVE OFFICER, PRESIDENT | 6096472 |
| 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 |
| ROMAINE, JUDITH | CHIEF COMPLIANCE OFFICER | 6115619 |
| TEIPNER, LARISSA KYLE | US GENERAL COUNSEL | — |
Disclosures
Regulatory Event
48Bond
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Scott Everett Levy's CRS (Customer Relationship Summary).
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