Principal & FINOP
Scott serves as the FINOP and Principal for Finance, Operations, Options, General Securities, Futures and Municipal Securities. He manages the compliance infrastructure and participates in all aspects of the broker-dealer and Registered Investment Advisor business. He works with strategic planning for the firm and directly with our clearing firm. Scott manages the operational, administrative, human resource, finance, and legal arms of the firm. He currently holds FINRA series 4, 7, 24, 27, 53, 66 and 87 licenses.
We work together with our clients to achieve successfulness in their long term goals. It’s all about the relationships we build. Knowing your entire financial picture is just part of the process. We are much more than that.
George Register