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Howard Alexander Scala

CRD# 822851·Registered 1976 - 1998
Barred: Howard Alexander Scala was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Howard Alexander Scala, who also goes by Howard A Scala, was a registered financial advisor. Howard was a previously registered financial professional and started their career in finance 1976 - 1998. Howard had worked at 6 firms and has passed the Series 63, Series 7, Series 5, Series 53, Series 24 and Series 4 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Howard A Scala

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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

ESCALATOR SECURITIES, INC.·CRD# 16985
BD
February 21, 1986 - February 3, 1998
PROFESSIONAL BROKERAGE SERVICES INC.·CRD# 7998
BD
August 7, 1984 - June 2, 1986
THOMSON MCKINNON SECURITIES INC.·CRD# 829
BD
February 19, 1982 - July 6, 1984
JII SECURITIES INC.·CRD# 406
BD
November 10, 1980 - February 26, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
September 26, 1978 - December 10, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.·CRD# 572
BD
May 20, 1976 - September 26, 1978

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Current Firm

ES
ESCALATOR SECURITIES, INC.

ESCALATOR SECURITIES, INC.

CRD#: 16985 / SEC#: 8-34852
BD
Terminated by SEC on 09/28/1998

Contact Information

Established

Pennsylvania since 08/22/1985

Firm Type

Corporation

Fiscal Year End

June

Documents

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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

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 1992About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Aug 1992About the Series 7 exam

Series 5 — Interest Rate Options Examination

Passed Sep 1981

Series 53 — Municipal Securities Principal Examination

Passed Jun 1993About the Series 53 exam

Series 24 — General Securities Principal Examination

Passed Aug 1992About the Series 24 exam

Series 4 — Registered Options Principal Examination

Passed May 1986About the Series 4 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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