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Profilo
Mr. Scott E.
Register is a Principal at Register Financial Advisors, LLC.
He joined Register Financial in September 1996.
He serves as the FINOP, Registered Option Security & Futures Principal and Muni Principal for the firm.
He currently holds the FINRA Series 4, 7, 24, 27, 53, 66 and 87 licenses.
He works directly with George Register on compliance for Register Financial Associates, Inc. and Register Financial Advisors, LLC.
He manages the compliance infrastructure and participates in all aspects of the brokerage business.
He works with strategic planning for the firm and directly with our clearing firm.
Prior to Register Financial Advisors, Mr. Register was employed with Securities Compliance Management, providing securities compliance consulting for Broker Dealers and Registered Investment Advisors.
He was also the FINOP for Sage Southeastern Securities.
Mr. Register received his undergraduate degree from Lynn University and an undergraduate degree from Francis Marion University.
Precedenti posizioni note di Scott Edward Register
Società | Posizione | Fine |
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Register Financial Advisors LLC
![]() Register Financial Advisors LLC Investment ManagersFinance Register Financial Advisors LLC (RFA) is an independent, SEC-registered investment advisor headquartered in Atlanta, Georgia. The firm was founded by George Register in 2006. RFA provides portfolio management services to individuals, corporations and business entities, pension and profit-sharing plans, charitable institutions, foundations, endowments, and estate and trusts. | Responsabile della Conformità | - |
Formazione di Scott Edward Register
Lynn University, Inc. | Undergraduate Degree |
Francis Marion University | Undergraduate Degree |
Esperienze
Posizioni ricoperte
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Inattive
Società quotate in Borsa
Aziende private
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Relazioni di 1° grado
Aziende connesse in 1º grado
Uomo
Donna
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Società collegate
Aziende private | 1 |
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Register Financial Advisors LLC
![]() Register Financial Advisors LLC Investment ManagersFinance Register Financial Advisors LLC (RFA) is an independent, SEC-registered investment advisor headquartered in Atlanta, Georgia. The firm was founded by George Register in 2006. RFA provides portfolio management services to individuals, corporations and business entities, pension and profit-sharing plans, charitable institutions, foundations, endowments, and estate and trusts. | Finance |
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