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Scott David Shames

Investment Adviser Representative at A.G.P / ALLIANCE GLOBAL PARTNERS

New York, NYCRD #2756455Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
30 yrs
States Registered
32 states
Exams Passed
7

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Scott David Shames has worked in the securities industry since 1996. They are registered to provide investment advisory services in 32 U.S. states.

Registrations & licenses

Registration type
Dual-registered
Registered in 32 states
ArizonaArkansasCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaIdahoIllinoisIowaKentuckyLouisianaMarylandMichiganMinnesotaNebraskaNevadaNew JerseyNew MexicoNew YorkNorth CarolinaOregonPennsylvaniaPuerto RicoSouth CarolinaTexasUtahVirginiaWashingtonWisconsin
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 11/11/2010
Series 63
Uniform Securities Agent State Law Examination
Passed 6/18/1996
Series 99
Operations Professional Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 6/11/1996
Series 4
Registered Options Principal Examination
Passed 3/2/2019
Series 24
General Securities Principal Examination
Passed 4/10/1998

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Account minimum: $10,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

A.g.p / Alliance Global Partners Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

A.G.P / ALLIANCE GLOBAL PARTNERSCurrent
7/19/2022New York, NY
NATIONAL ASSET MANAGEMENT, INC.
12/6/20107/19/2022New York, NY

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Scott David Shames has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Scott David Shames - Financial Advisor in New York, NY | AdvisorFinder