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Type: Dual Registration

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 15 years and is subject to SEC and FINRA oversight.

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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

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*Answers and guides are provided without compensation.

Firm Client Types

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.

Experience and Employment History

Employer Years Dates
Raymond James & Associates 1 year, 5 months Nov 2012 - Present
Morgan Stanley Smith Banrey Venture Services LLC 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
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 11/20/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

License Status

1 Criminal Disclosure

1 Criminal Disclosure

As of Date
*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.

Advisor Exams

Exam Series Passed Date
General Securities Sales Supervisor - Options Module Examination Series 9 06/11/2005
General Securities Sales Supervisor - General Module Examination Series 10 07/17/2002
Futures Managed Funds Examination Series 31 06/17/1999
Uniform Combined State Law Examination Series 66 06/09/1999
General Securities Representative Examination Series 7 05/26/1999
Uniform Securities Agent State Law Examination Series 63 03/14/1997
Investment Company Products/Variable Contracts Representative Examination Series 6 06/18/1996

Firm Compensation Arrangements

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Types of Compensation Arrangements

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