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JOHN SAMUEL SCOTT
CRD#: 3072293
IA
B
ON INVESTMENT MANAGEMENT COCRD#: 105662 1553 Fleetwood Drive
Franklin, TN 37064
Franklin, TN 37064
THE O.N. EQUITY SALES COMPANYCRD#: 2936 1904 5th Avenue North
Nashville, TN 37208
Nashville, TN 37208
0
Disclosures
19
Years of Experience
View By:
State Registrations
B
Alabama 1/3/2024
B
Illinois 4/21/2021
IA
Alabama 1/3/2024
B
Kentucky 8/1/2016
IA
California 8/1/2016
B
Nevada 8/1/2016
B
California 8/31/2017
IA
Nevada 8/4/2016
B
Colorado 5/15/2024
B
North Carolina 8/1/2016
IA
Colorado 5/15/2024
IA
North Carolina 4/11/2018
IA
Florida 8/11/2021
B
Tennessee 8/1/2016
IA
Illinois 4/15/2021
IA
Tennessee 8/1/2016
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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B
Registered with this firm since 8/1/2016
IA
Registered with this firm since 8/1/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/22/2014 - 08/01/2016 | BRENTWOOD, TN | |
B | 09/22/2014 - 08/01/2016 | BRENTWOOD, TN | |
IA | 03/29/2012 - 09/04/2014 | BRENTWOOD, TN | |
B | 03/20/2012 - 09/04/2014 | BRENTWOOD, TN | |
IA | 04/13/2006 - 06/10/2010 | MOUNT JULIET, TN | |
B | 01/31/2006 - 06/10/2010 | MOUNT JULIET, TN | |
B | 09/07/2005 - 01/13/2006 | MEMPHIS, TN | |
B | 04/29/2003 - 05/04/2005 | BLOOMINGTON, IL | |
B | 03/07/2002 - 04/22/2002 | CHARLOTTE, NC |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.