Francis Joseph Scott
Professional Summary
Francis Joseph Scott, who also goes by Fran Scott, was a registered financial advisor. Francis was a previously registered financial professional and started their career in finance 1981 - 1999. Francis had worked at 6 firms and has passed the Series 63, Series 55, Series 7, Series 4 and Series 40 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Fran Scott
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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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.
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.
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Years of Experience
50 years in the financial services industry
Current & Past Employments
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Current Firm
COLLEGE & UNIVERSITY SECURITIES CORPORATION
Contact Information
Established
Delaware since 07/31/1996Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CENTRAL ASSOCIATION OF COLLEGE AND UNIVERSITY BUSINESS OFFICERS | PARENT CORPORATION | — |
| BARNES, JAMES A | DIRECTOR | — |
| BENKEN, JAMES EDWARD | DIRECTOR | — |
| DODSON, JAMES MARSHALL | DIRECTOR | — |
| GLADNEY, HAROLD LAMAR | COMPLIANCE OFFICER | 1189322 |
| HUNKINS, DONALD E | DIRECTOR | — |
| LEVINGSTON, LARRY BRUCE | CFO/TREASURER | 1028551 |
| MOULTON, JEANNE MARIE | EVP/SECRETARY | 2092778 |
| PATTERSON, JOHN DALE | DIRECTOR | — |
| RATZLOFF, KEITH L | CHAIRMAN | — |
| SCOTT, FRANCIS JOSEPH | HEAD TRADER | 818820 |
| SHIRLEY, MICHAEL SLEET | DIRECTOR | — |
| SORENSEN, ROBERT SIDNEY | DIRECTOR | — |
| WADE, RANDALL EDWIN | PRESIDENT | 1572823 |
| WATSON, ELAINE MCINTYRE | DIRECTOR | — |
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Mar 2000Series 40 — Registered Principal Examination
Passed Feb 1977Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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