Scott B. Mccuaig
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 Bradley Mccuaig was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1979. Scott had worked at 5 firms and has passed the Series 63, Series 7, Series 8, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2001 - September 28, 2011
STIFEL INDEPENDENT ADVISORS, LLC
February 26, 1999 - April 2, 2012
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 27, 1998 - April 2, 2012
STIFEL, NICOLAUS & COMPANY, INCORPORATED
June 22, 1988 - January 28, 1998
ROBERT W. BAIRD & CO. INCORPORATED
March 21, 1980 - June 27, 1988
THE MILWAUKEE COMPANY
August 24, 1979 - April 18, 1980
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
STIFEL INDEPENDENT ADVISORS, LLC
CRD#: 28218 / SEC#: 801-43561, 8-43514
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 8
Date: 10/30/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Series 12
Date: 11/20/1982
NYSE Branch Manager ExaminationCurrent Firm
STIFEL INDEPENDENT ADVISORS, LLC
CRD#: 28218 / SEC#: 801-43561, 8-43514
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | OWNER-HOLDING COMPANY OWNING 100% | |
| KRUSZEWSKI, RONALD JAMES | CHAIRMAN, STIFEL FINANCIAL | 1434827 |
| BRAUTIGAM, ALLEN COR | PRESIDENT AND CEO | 2400179 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER | 4696103 |
| DODSON, CHARLES EDWARD | CCO-ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL | 4970942 |
| MELINGER, ADAM SCOTT | ROSFP | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| ROWAN, JAMES FRANCIS | PRINCIPAL FINANCIAL OFFICER | 1976998 |
| ZEMLYAK, JAMES MARK | MANAGER, BOARD OF MANAGERS | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 11,648 |
| AUM (Assets Under Management) | $ 4,379,138,273 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2024 | ||
| 09/28/2023 | ||
| 11/28/2022 |
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.
