Girven K. Stott
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.
Girven Kent Stott was a registered financial professional .
Girven is a previously registered financial professional and started their career in finance in 1980. Girven had worked at 6 firms and has passed the Series 63, Series 6 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
June 6, 1994 - January 21, 1997
WMA SECURITIES, INC.
April 18, 1994 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 31, 1982 - December 31, 1990
INTERPACIFIC INVESTORS SERVICES, INC.
December 17, 1980 - March 15, 1982
AMERICAN EXPRESS FINANCIAL CORPORATION
December 17, 1980 - March 15, 1982
AMERIPRISE FINANCIAL SERVICES, LLC
December 17, 1980 - March 15, 1982
IDS LIFE INSURANCE COMPANY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WMA SECURITIES, INC.
CRD#: 32625 / SEC#: , 8-45728
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 6 |
Red Flags
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