John H. Scott
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.
John Harold Scott was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1979. John had worked at 21 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 3, Series 7 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
December 1, 2016 - April 8, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 29, 2016 - April 8, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 22, 2014 - November 22, 2016
INVESTMENT PROFESSIONALS, INC.
December 12, 2014 - November 22, 2016
INVESTMENT PROFESSIONALS, INC.
February 23, 2011 - December 18, 2014
NEXT FINANCIAL GROUP, INC.
February 15, 2011 - December 18, 2014
NEXT FINANCIAL GROUP, INC.
September 14, 2007 - February 15, 2011
OSAIC INSTITUTIONS, INC.
August 15, 2007 - February 15, 2011
OSAIC INSTITUTIONS, INC.
July 3, 2007 - August 16, 2007
MSI FINANCIAL SERVICES, INC.
May 18, 2007 - August 16, 2007
MSI FINANCIAL SERVICES, INC.
December 20, 2005 - October 31, 2006
COLONIAL BROKERAGE, INC.
November 26, 2004 - December 12, 2005
NEXT FINANCIAL GROUP, INC.
April 3, 2002 - November 30, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 1, 2000 - April 2, 2002
WELLS FARGO CLEARING SERVICES, LLC
June 21, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
January 4, 1999 - June 7, 2000
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 27, 1995 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
September 13, 1993 - July 26, 1995
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 8, 1989 - September 13, 1993
CAL FED INVESTMENTS
May 11, 1989 - September 1, 1989
PIPER SANDLER & CO.
September 15, 1987 - August 31, 1988
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
May 28, 1987 - August 6, 1987
PAMCO SECURITIES AND INSURANCE SERVICES
August 16, 1986 - September 19, 1986
CAPITAL ASSET SECURITIES, INC.
November 13, 1985 - June 9, 1986
PLANNED MANAGEMENT COMPANY
April 25, 1985 - November 19, 1985
RAYMOND JAMES & ASSOCIATES, INC.
April 12, 1984 - March 20, 1985
INVEST FINANCIAL CORPORATION
August 25, 1982 - April 17, 1984
LEHMAN BROTHERS INC.
November 26, 1979 - August 27, 1982
BOETTCHER & COMPANY, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
