SB
Scott G. Brophy
VENTUM FINANCIAL (US)
Toronto, M5H 3Y2
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CRD#: 7229370
SB
Professional summary
Scott Gerard Brophy is a registered financial professional currently at VENTUM FINANCIAL (US) CORP. .
Scott is registered as a RR (Registered Representative) and started their career in finance in 2020. Scott has worked at 1 firm and has passed the SIE and Series 7TO exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Scott Gerard Brophy'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 4, 2020 - Present
VENTUM FINANCIAL (US) CORP.
Office #1: 3401 - 40 King Street West, Toronto, M5H 3Y2BD
CRD#: 127404
Toronto,
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
General Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/31/2020
General Securities Representative ExaminationSRO Registrations
RR
FINRA
Current Firm
VF
VENTUM FINANCIAL (US) CORP.
PACIFIC INTERNATIONAL SECURITIES (U.S.) INC. | VENTUM FINANCIAL (US) CORP. | PI FINANCIAL (US) CORP.
CRD#: 127404 / SEC#: , 8-65995
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
Vancouver Centre Ii 2500 - 733 Seymour Street, Vancouver, V6B 0S6
Mailing Address
Vancouver Centre Ii 2500 - 733 Seymour Street, Vancouver, V6B 0S6
Phone number
(604) 664-2900
Established
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees
FINRA licenses (21 States and Territories)
Documents
Red Flags
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