Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Fowler is a securities professional with over 20 years of experience in the financial services industry. Currently, Scott is registered with Cumberland Securities LLC and DRW Execution Services, LLC, as well as DRW Securities, LLC. Scott previously held positions with RGM Securities, LLC, Affiliated Bankers Capital, L.L.C., and H.D. Vest Investment Services. Scott is licensed to sell securities in Texas and holds several industry certifications including the Series 7, 24, 27, 57, 62, 63, 65, 79, 99, and SIE exams.
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.
1
2
IL
11/05/2019 - Present
Cumberland Securities LLC (CHICAGO IL)
TX
03/02/2011 - 09/29/2017
RGM SECURITIES, LLC (AUSTIN TX)
TX
02/18/2008 - 01/03/2011
AFFILIATED BANKERS CAPITAL, L.L.C. (AUSTIN TX)
TX
06/29/2005 - 08/03/2006
H.D. VEST INVESTMENT SERVICES (TROPHY CLUB TX)
TX
07/06/1998 - 12/10/2003
H.D. VEST INVESTMENT SERVICES (DALLAS TX)
IA
Issued 11/30/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/15/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/26/2013
Series 24 - General Securities Principal Examination
BC
Issued 07/09/2009
Series 27 - Financial and Operations Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/02/1998
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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