Scott Battle
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 Battle was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1977. Scott had worked at 17 firms and has passed the Series 63, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2007 - October 12, 2007
WORKMAN SECURITIES CORPORATION
January 21, 2005 - March 10, 2005
VESTPOINT SECURITIES, INC.
March 29, 2004 - January 25, 2005
WORKMAN SECURITIES CORPORATION
April 12, 2000 - May 17, 2002
SOUTHERN FINANCIAL GROUP, INC.
April 14, 1998 - June 5, 1998
SOUTHERN FINANCIAL GROUP, INC.
June 2, 1997 - March 19, 1998
SOUTHERN CAPITAL SECURITIES, INC.
December 3, 1996 - May 27, 1997
LEGACY FINANCIAL SERVICES, INC.
February 7, 1996 - May 1, 1996
FIDELITY BROKERAGE SERVICES LLC
July 26, 1993 - November 28, 1995
OLD NAPLES SECURITIES, INC.
September 8, 1992 - December 9, 1992
INVESTORS SECURITY COMPANY, INC.
April 21, 1992 - June 22, 1992
OLD NAPLES SECURITIES, INC.
August 8, 1991 - December 31, 1991
IFG NETWORK SECURITIES, INC.
January 14, 1991 - June 21, 1991
GROVE POINT INVESTMENTS, LLC
June 14, 1990 - September 27, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 9, 1990 - June 19, 1990
IDS LIFE INSURANCE COMPANY
April 9, 1990 - June 19, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
September 11, 1989 - February 17, 1990
DAVENPORT & COMPANY LLC
February 27, 1987 - September 13, 1989
THOMSON MCKINNON SECURITIES INC.
January 21, 1987 - February 11, 1987
MARION BASS SECURITIES CORPORATION
August 5, 1977 - March 25, 1978
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
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: 7/31/1977
Registered Representative ExaminationCurrent Firm
WORKMAN SECURITIES CORPORATION
CRD#: 31898 / SEC#: 801-65758, 8-45573
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
Red Flags
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