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Detailed Report
Scott Alan George
SCOTT ALAN GEORGE
CRD#: 2638248
IA
Investment Adviser
B
Broker
ROBERT W. BAIRD & CO. INCORPORATEDCRD#: 8158 555 French Rd, Building 2
New Hartford, NY 13413
Registration History
19952000200520102015202020252 FIRMS2018 - Present (6 years)BM. GRIFFITH INVESTMENT SERVICE... (CRD# 2078)2005 - 2018 (13 years)BCADARET, GRANT & CO., INC. (CRD# 10641)2000 - 2005 (4 years)BMML INVESTORS SERVICES, INC. (CRD# 10409)1995 - 2000 (5 years)IAM. GRIFFITH INVESTMENT SERVICE... (CRD# 2078)2011 - 2018 (7 years)IAM. GRIFFITH INVESTMENT SERVICE... (CRD# 2078)2007 - 2009 (2 years)
License(s)

State Registrations

B
Arizona 12/7/2018
B
Nevada 12/7/2018
B
California 12/7/2018
B
New Jersey 12/7/2018
IA
California 12/7/2018
B
New York 12/7/2018
B
Colorado 2/12/2024
IA
New York 5/12/2021
B
Connecticut 12/19/2018
B
North Carolina 12/7/2018
B
District of Columbia 1/25/2022
B
Pennsylvania 8/9/2023
B
Florida 12/7/2018
B
South Carolina 8/18/2020
IA
Florida 12/10/2018
B
Tennessee 1/28/2025
B
Georgia 10/28/2021
B
Texas 12/17/2018
B
Hawaii 1/10/2020
IA
Texas 12/17/2018
B
Indiana 12/17/2018
B
Virginia 2/20/2020
IA
Indiana 12/17/2018
B
Washington 4/8/2021
B
Massachusetts 7/10/2023

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158)
555 French Rd, Building 2, New Hartford, NY 13413
Cape Coral, FL
Registered with this firm since 12/7/2018
B
ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158)
555 French Rd, Building 2, New Hartford, NY 13413
Cape Coral, FL
Registered with this firm since 12/7/2018
Previous Registration(s)
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B
 07/12/2005 - 12/13/2018 M. GRIFFITH INVESTMENT SERVICES, INC. (CRD#:2078) NEW HARTFORD, NY
IA
 05/19/2011 - 12/12/2018 M. GRIFFITH INVESTMENT SERVICES, INC. (CRD#:2078) NEW HARTFORD, NY
IA
 05/15/2007 - 12/07/2009 M. GRIFFITH INVESTMENT SERVICES, INC. (CRD#:2078) NEW HARTFORD, NY
B
 11/01/2000 - 07/11/2005 CADARET, GRANT & CO., INC. (CRD#:10641) SYRACUSE, NY
B
 07/27/1995 - 11/06/2000 MML INVESTORS SERVICES, INC. (CRD#:10409) SPRINGFIELD, MA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.