Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 13, 2019 indicate that Nebraska-based Summit Brokerage Services broker/adviser Scott Kaup recently received a new pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kaup (CRD# 1002907).
Scott Kaup has spent 37 years in the securities industry and has been registered with Summit Brokerage Services in Stuart, Nebraska since 2016. Previous registrations include VSR Financial Services in Stuart, Nebraska (1989-2016); American General Securities in Phoenix, Arizona (1987-1989); VSR Financial Services (1984-1987); and St. Paul Investors (1981-1984). He has passed five securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 15, 1990; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 31 (Futures Managed Funds Examination), which he obtained on August 4, 1998; Series 7 (General Securities Representative Examination), which he obtained on November 16, 1985; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on August 13, 1981. He is a registered broker and investment adviser with 21 US states and territories.
According to his BrokerCheck report, he has received one customer complaint and two pending customer complaints.