Francis J. Scott
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.
Francis Joseph Scott, who also goes by Fran Scott, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1981. Francis had worked at 6 firms and has passed the Series 63, Series 55, Series 7, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 1998 - October 18, 1999
COLLEGE & UNIVERSITY SECURITIES CORPORATION
January 1, 1991 - February 4, 2014
VINING-SPARKS IBG, LLC
April 25, 1989 - February 4, 2014
ICBA SECURITIES
July 17, 1986 - September 16, 1987
LAWYER-MILLS SECURITIES, INC.
March 7, 1984 - October 11, 1988
PLANSMITH SECURITIES,INC.
November 6, 1981 - January 1, 1991
VINING-SPARKS SECURITIES, 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
Series 55
Date: 3/16/2000
Limited Representative-Equity Trader ExamSeries 40
Date: 2/26/1977
Registered Principal ExaminationCurrent Firm
COLLEGE & UNIVERSITY SECURITIES CORPORATION
CRD#: 42468 / SEC#: , 8-49859
Contact information
Documents
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 |
Red Flags
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