Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott McCaffrey is a registered representative with Hilltop Securities Inc. Scott has 23 years of experience in the financial services industry. Scott is registered with the Financial Industry Regulatory Authority (FINRA) and has a Series 7, 9, 10, 24, 31, 52, 53, 63, 65, and 99 license. Scott has been a registered representative with LPL Financial since 2012.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
12b-1 fees
1
2
TX
07/17/2023 - Present
Hilltop Securities Inc. (DALLAS TX)
SC
11/19/2012 - 07/18/2023
LPL FINANCIAL LLC (FORT MILL SC)
TX
09/09/2010 - 10/13/2011
BBVA COMPASS INVESTMENT SOLUTIONS, INC (DALLAS TX)
TX
12/03/2009 - 09/03/2010
WELLS FARGO INVESTMENTS, LLC (ADDISON TX)
TX
05/22/2006 - 12/07/2009
WELLS FARGO ADVISORS, LLC (DALLAS TX)
TX
07/06/2001 - 05/16/2006
CITICORP INVESTMENT SERVICES (AMARILLO TX)
MD
10/07/1999 - 06/28/2001
M&T SECURITIES, INC. (BALTIMORE MD)
NY
07/24/1998 - 09/13/1999
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 08/26/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/30/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/04/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/05/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/12/2001
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/19/2001
Series 24 - General Securities Principal Examination
BC
Issued 07/17/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/19/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 07/23/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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