Scott M. Rovner
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 Michael Rovner was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1976. Scott had worked at 9 firms and has passed the Series 63, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 4, 1985 - December 20, 1986
UNI EQ INVESTMENT GROUP, INC.
April 10, 1985 - August 7, 1985
MARION BASS SECURITIES CORPORATION
February 16, 1983 - March 13, 1985
SWINK & COMPANY, INC.
March 12, 1982 - March 17, 1983
PHILIPS, APPEL & WALDEN, INC.
September 17, 1979 - January 21, 1982
LEHMAN BROTHERS INC.
March 19, 1979 - September 17, 1979
LOEB PARTNERS
February 24, 1978 - January 17, 1979
MORGAN STANLEY DW INC.
December 2, 1977 - February 24, 1978
REYNOLDS SECURITIES, INC.
May 3, 1976 - December 1, 1977
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
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 5
Date: 10/17/1981
Interest Rate Options ExaminationCurrent Firm
UNI EQ INVESTMENT GROUP, INC.
CRD#: 7341 / SEC#: , 8-21010
Contact information
Documents
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.
