Scott W. Grant
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 Wallace Grant was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1977. Scott had worked at 12 firms and has passed the Series 63, Series 7, Series 1, Series 24 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 2001 - June 26, 2002
RUSHMORE SECURITIES CORPORATION
February 19, 1999 - July 2, 1999
OAKWOOD CAPITAL SECURITIES, INC.
July 27, 1994 - December 13, 1996
OSAIC FS, INC.
May 22, 1992 - June 17, 1994
OSAIC WEALTH, INC.
October 24, 1990 - December 31, 1991
AMERICAN CAPITAL CORPORATION
June 18, 1989 - September 25, 1989
SUNAMERICA SECURITIES, INC.
July 18, 1988 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
February 23, 1984 - May 18, 1988
BOARDWALK CAPITAL CORPORATION
May 12, 1983 - March 2, 1984
PRUDENTIAL EQUITY GROUP, LLC
March 25, 1982 - June 27, 1983
BOARDWALK CAPITAL CORPORATION
July 13, 1981 - July 22, 1981
SOUTHMARK FINANCIAL SERVICES, INC.
March 9, 1981 - August 7, 1981
SAINT ANTHONY SECURITIES, INC.
January 11, 1979 - December 10, 1979
WADDELL & REED
September 30, 1977 - July 5, 1978
VOYA FINANCIAL ADVISORS, INC.
June 28, 1977 - October 28, 1977
WADDELL & REED
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 1
Date: 6/3/1977
Registered Representative ExaminationCurrent Firm
RUSHMORE SECURITIES CORPORATION
CRD#: 8392 / SEC#: , 8-25253
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
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.
