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SK

Scot A. Kagan

Some features on this profile are disabled
CRD#: 839362
SK

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.

Scot Alexander Kagan was a registered financial advisor .

Scot is a previously registered financial advisor and started their career in finance in 1977. Scot had worked at 5 firms and has passed the Series 63, PC and Series 7 exams.

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.
The advisor shows no other business activity.

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

November 18, 2010 - June 20, 2011

MONTECITO ADVISORS, INC.

BD
CRD#: 104004
CALDWELL, WV
Past

July 8, 2002 - January 12, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA
CRD#: 6694
WEST CHESTER, OH
Past

January 10, 2002 - January 12, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
WEST CHESTER, OH
Past

November 25, 1992 - January 3, 2002

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

February 15, 1988 - December 14, 1992

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

July 1, 1977 - 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
RR
Series 63
Date: 1/21/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
PC
Date: 7/27/1978
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 7
Date: 6/18/1977
General Securities Representative Examination

Current Firm

MA
MONTECITO ADVISORS, INC.
MONTECITO ADVISORS, INC.

CRD#: 104004 / SEC#: , 8-52471

BD
Terminated by SEC on 01/27/2017
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Contact information

Main Address
2015 State Street Suite B, Santa Barbara, CA 93105
Mailing Address
Phone number
Established
California since 02/10/2000
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
GENADRY, ELIE MICHELCHAIRMAN OF THE BOARD, LTD PRINCIPAL721443
BANERJEE, DEBASISH ("NMN")CO-FINOP1555979
KAPERNEKAS, ATHANASIOS GTRADE RISK MANAGER4183213
WOLF, ALEXANDER VICTORCFO, CO-FINOP2155490
WOLF, ALEXANDER VICTORGSP2155490
ZOPP, MELANIE ALANECHIEF COMPLIANCE OFFICER, GSP4671608
ZOPP, MELANIE ALANECEO4671608

Disclosures

Regulatory Event2

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

MONTECITO ADVISORS, INC.

CRD#: 104004

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