Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scot? Claim Your ProfileScot Thomas Pinto is a financial professional with over 28 years of experience in the securities industry. Scot is currently registered with C. L. King & Associates, Inc. in New Jersey, New York, Texas and Virginia. Previously, Scot has been registered with Needham & Company, Inc., Fahnestock & Co., Inc., SG Cowen Securities Corporation, and Cowen & Co. Scot holds a Series 7, Series 24, Series 55, Series 57TO, and Series 63 license.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NJ
03/09/2005 - Present
C. L. King & Associates, Inc. (HOBOKEN NJ)
NY
07/15/1999 - 02/15/2005
NEEDHAM & COMPANY, INC. (NEW YORK NY)
NY
03/18/1999 - 04/13/1999
FAHNESTOCK & CO., INC. (NEW YORK NY)
NY
07/01/1998 - 04/09/1999
SG COWEN SECURITIES CORPORATION (NEW YORK NY)
NY
05/23/1994 - 07/01/1998
COWEN & CO. (NEW YORK NY)
BC
Issued 10/06/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/01/2006
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/02/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/21/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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