• Scott E. Felt

    Vice President, Dallas

 

Certifications / Degrees / Awards

  • Financial and Operations Principal
  • General Securities Principal
  • Investment Banking Representative
  • Municipal Securities Principal
  • Operations Principal
  • General Securities Representative
  • Uniform State Agent
  • B. A., The University of Texas at Austin

 

Mr. Felt joined the Firm in February 2013 and serves in the Compliance and Accounting Department of Estrada Hinojosa.

 Mr. Felt has over 20 years of financial service experience and possesses a strong knowledge of SEC and FINRA regulations. Prior to joining Estrada Hinojosa, Mr. Felt served as a Financial Compliance Consultant for MGL Consulting Corporation and SEF & Associates, Inc. where he performed a wide variety of compliance functions. These functions include conducting Anti-Money Laundering Audits, writing and revising Written Supervisory Procedure Manuals, conducting branch office inspections, and assisting companies through the New Member Application process. Mr. Felt has previously served as Chief Compliance Officer and Financial Operation Principal for several FINRA member broker dealers. Mr. Felt has been registered with many FINRA regulated firms including Morgan Stanley, Fidelity Investments, Behringer Securities, SWS Financial Services, Lincoln Financial, MicroVenture Marketplace, and other FINRA member firms.

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