Richard Scott
Professional summary
Richard Scott, who also goes by Richie Scott, Rick Scott, is a registered financial professional currently at MOELIS & COMPANY LLC located in Houston, Texas.
Richard is registered as a RR (Registered Representative) and started their career in finance in 2022. Richard has worked at 2 firms and has passed the Series 63, Series 7TO, Series 79TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Scott's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 22, 2025 - Present
MOELIS & COMPANY LLC
Office #1: 845 Texas Ave 22nd Floor, Houston, TX 77002September 19, 2022 - May 7, 2025
GUGGENHEIM SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/22/2025)
Exams
Series 7TO
Date: 7/7/2025
General Securities Representative ExaminationSeries 79TO
Date: 9/19/2022
Investment Banking Registered Representative ExaminationFINRA
Current Firm
MOELIS & COMPANY LLC
CRD#: 145115 / SEC#: , 8-67705
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MOELIS & COMPANY GROUP LP | PARENT COMPANY | |
| CALLESANO, CHRIS PETER | CFO, PRINCIPAL OPERATIONS OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4889259 |
| MAHMOODZADEGAN, NAVID ALI | CHIEF EXECUTIVE OFFICER | 2609804 |
| MOELIS, KENNETH DAVID | EXECUTIVE CHAIRMAN | 1015047 |
| PILCHER CIAFONE, KATHERINE CELY | CHIEF OPERATING OFFICER | 4573006 |
| RAICH, JEFFREY ALAN | EXECUTIVE VICE CHAIRMAN | 2016620 |
| WATANABE, OSAMU RICHARD | CHIEF LEGAL OFFICER AND CHIEF COMPLIANCE OFFICER | 2875185 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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Company Information
MOELIS & COMPANY LLC
CRD#: 145115Houston, TX 77002TRUST BUT VERIFY
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