Scott E. Smith
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 Eugene Smith was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1981. Scott had worked at 9 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 4, 2011 - June 13, 2012
B. C. ZIEGLER AND COMPANY
August 31, 2009 - September 3, 2010
HUNTINGTON SECURITIES, INC.
May 5, 2005 - August 20, 2009
STERN BROTHERS & CO.
May 3, 1999 - May 6, 2005
LEGG MASON WOOD WALKER, INCORPORATED
July 10, 1997 - June 10, 1999
SCOTT & STRINGFELLOW, LLC
January 16, 1996 - November 13, 1996
DAIN RAUSCHER INCORPORATED
May 31, 1994 - March 10, 1995
GEORGE K. BAUM & COMPANY
August 10, 1984 - May 31, 1994
GKB, INC.
May 18, 1981 - December 16, 1983
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
B. C. ZIEGLER AND COMPANY
CRD#: 61 / SEC#: 801-19699, 8-94
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE ZIEGLER COMPANIES, INC. | PARENT COMPANY | |
| DAVID, ANGELIQUE ATHIENA | EMD, GENERAL COUNSEL, CORPORATE SECRETARY, COO | 5445800 |
| HERMANN, DANIEL JOSEPH | CEO AND PRESIDENT | 1790977 |
| JEFFERSON, RYAN T | MANAGING DIRECTOR, CFO & DIRECTOR | 5844031 |
| KERR, MARCLETTA R | DIRECTOR, CHIEF COMPLIANCE OFFICER | 7463114 |
| STROM, KEVIN LOUIS | EMD HEAD OF CAPITAL MARKETS | 1595516 |
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 2 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Wisconsin | ERA - Withdrawn | 3/3/2025 |
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.
