Scott R. Franzen
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 Ross Franzen was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1979. Scott had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 1988 - October 4, 1988
INVESTMENT CONCEPTS, INC.
October 26, 1984 - June 5, 1987
WESTONKA INVESTMENTS, INC.
October 4, 1984 - October 30, 1984
FIRST UNITED SECURITIES CORPORATION
November 1, 1982 - August 28, 1984
VAN CLEMENS & CO. INCORPORATED
February 3, 1982 - November 2, 1982
CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.
August 4, 1981 - December 2, 1983
ANTHONY INVESTMENT CO.
September 30, 1980 - August 6, 1981
ALSTEAD, DEMPSEY & COMPANY, INCORPORATED
July 27, 1979 - October 25, 1980
VAN CLEMENS & CO. INCORPORATED
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
Current Firm
INVESTMENT CONCEPTS, INC.
CRD#: 19971 / SEC#: , 8-37930
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
