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SG

Scott I. Grandbouche

Some features on this profile are disabled
CRD#: 826673
SG

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 Irvin Grandbouche was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 1976. Scott had worked at 13 firms and has passed the Series 65, Series 63, Series 15, PC, Series 7, Series 24, Series 53, Series 4 and Series 12 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
WEALTHHARBOR CAPITAL GROUP, 601 POYDRAS, SUITE 2600, N.O., LA 70130, 401(K) ADMINSTRATION, FIDUCIARY AND INVESTMENT SERVICES, PART OWNER, WILL RECEIVE AN ADVISORY FEE - .25-.30%, 40 HOURS A WEEK; SELF, EXPERT WITNESS FOR SECURITIES, $250 AN HR., A FEW HOURS A WEEK; INVESTMENT ADVISER, MANAGING PARTNER, 40 HRS WEEK;DCR MORTGAGE PARTNERSHIP, 333 3RD AVENUE, NORTH SUITE 400, ST. PETERSBURG, FL; PRIVATE PLACE MORTGAGE POOL, OFFER PRIVATE PLACEMENT TO A FEW SELECTED "ACCREDITED INVESTOR" CLIENTS; COMPENSATED - YES (2% OF PURCHASE ASSETS OF INTRODUCED CLIENTS); MINIMAL TIME - OVER NEXT COUPLE OF WEEKS.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 7, 2006 - October 23, 2007

WFG INVESTMENTS, INC.

BD
CRD#: 22704
NEW ORLEANS, LA
Past

February 13, 2006 - October 30, 2023

WEALTHHARBOR CAPITAL GROUP, LLC

RIA
CRD#: 118614
METAIRIE, LA
Past

November 30, 2005 - September 20, 2006

FSC SECURITIES CORPORATION

BD
CRD#: 7461
NEW ORLEANS, LA
Past

August 2, 2000 - November 30, 2005

PAN-AMERICAN FINANCIAL ADVISERS

BD
CRD#: 15578
NEW ORLEANS, LA
Past

July 22, 1999 - July 21, 2000

THE FIRST AMERICAN INVESTMENT BANKING CORPORATION

BD
CRD#: 39263
TAMPA, FL
Past

March 2, 1998 - August 20, 1999

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

January 2, 1998 - March 2, 1998

DAIN RAUSCHER INCORPORATED

BD
CRD#: 7600
Past

July 3, 1997 - January 2, 1998

RAUSCHER PIERCE REFSNES, INC.

BD
CRD#: 6663
DALLAS, TX
Past

July 26, 1993 - June 27, 1997

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

January 5, 1990 - July 19, 1993

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD
Past

June 15, 1988 - January 18, 1990

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN
Past

February 15, 1988 - June 14, 1988

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

August 27, 1976 - February 15, 1988

E. F. HUTTON & COMPANY INC

BD
CRD#: 235

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/1/1993
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/4/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 15
Date: 12/6/1994
Foreign Currency Options Examination
General Industry/Product Exam
RR
PC
Date: 8/31/1977
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 7
Date: 8/21/1976
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/15/1993
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 8/20/1993
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/23/1984
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 12
Date: 2/20/1982
NYSE Branch Manager Examination

Current Firm

WI
WFG INVESTMENTS, INC.
THE (WILSON) WILLIAMS FINANCIAL GROUP | WILLIAMS, BUCHANAN & COMPANY, INC. | WILLIAMS FINANCIAL GROUP | WFG INVESTMENTS, INC.

CRD#: 22704 / SEC#: , 8-39928

BD
Terminated by SEC on 11/21/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 06/08/1988
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WILLIAMS FINANCIAL GROUPOWNER
WILLIAMS, DAVID WILSONPRESIDENT/CHIEF COMPLIANCE OFFICER4178982
WILLIAMS, WILSON HENRYCHAIRMAN OF THE BOARD, CEO834161

Disclosures

Regulatory Event23
Civil Event1
Arbitration3

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.

Company Information

WFG INVESTMENTS, INC.

CRD#: 22704

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