Scott R. Griffith
Professional summary
Scott Randyn Griffith, who also goes by Scott R Griffith, is a registered financial professional currently at STONEGATE CAPITAL MARKETS, INC. located in Dallas, Texas.
Scott is registered as a RR (Registered Representative) and started their career in finance in 1979. Scott has worked at 3 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Scott Randyn Griffith's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 24, 1992 - Present
STONEGATE CAPITAL MARKETS, INC.
Office #1: 500 Crescent Court Suite 370, Dallas, TX 75201Office #2: 500 Crescent Court Suite 370, Dallas, TX 75201July 19, 1988 - October 21, 1992
CITIGROUP GLOBAL MARKETS INC.
April 23, 1980 - May 28, 1988
PERSHING LLC
November 1, 1979 - May 22, 1980
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/28/2022)
(12/16/2021)
(12/16/2021)
(1/4/2023)
(2/11/2022)
(4/17/2023)
(3/4/2022)
(9/15/2022)
(2/18/2022)
(2/24/2022)
(12/21/2021)
(5/23/2022)
(7/1/2022)
(12/15/2021)
(9/23/2000)
(2/21/2022)
(12/16/2021)
(12/1/1992)
(10/4/2022)
(4/4/2022)
(9/17/2025)
(1/18/2022)
(3/4/2022)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
STONEGATE CAPITAL MARKETS, INC.
CRD#: 6376 / SEC#: , 8-17359
Contact information
FINRA licenses (22 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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Company Information
STONEGATE CAPITAL MARKETS, INC.
CRD#: 6376Dallas, TX 75201TRUST BUT VERIFY
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