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Scott Alan Cutliff

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Information

Firm:
Type: Dual Registration
Description

Scott Cutliff is a financial professional at Raymond James & Associates, Inc., a broker-dealer with over 5,350 registered representatives nationwide. Scott has held an industry securities registration for 16 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Raymond James & Associates 1 year, 8 months Nov 2012 - Present
Morgan Stanley Smith Barney 3 years, 5 months Jun 2009 - Nov 2012
Morgan Stanley & Co., Incorporated 5 years, 7 months Apr 2007 - Nov 2012
Dean Witter Reynolds Inc. 8 years, 1 month Mar 1999 - Apr 2007
Exams
ExamSeriesPassed Date
General Securities Sales Supervisor - Options Module ExaminationSeries 9 06/11/2005
General Securities Sales Supervisor - General Module ExaminationSeries 10 07/17/2002
Futures Managed Funds ExaminationSeries 31 06/17/1999
Uniform Combined State Law ExaminationSeries 66 06/09/1999
General Securities Representative ExaminationSeries 7 05/26/1999
Uniform Securities Agent State Law ExaminationSeries 63 03/14/1997
Investment Company Products/Variable Contracts Representative ExaminationSeries 6 06/18/1996

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Scott Alan Cutliff has not answered any questions on Financial Q&A.

Top Guides

Scott Alan Cutliff has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Banking or Thrift Institutions
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses
State or Municipal Government Entities
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

1 Criminal Disclosure

1 Criminal Disclosure

As of Date
11/20/2012
09/20/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions