Scott Kimpson

Senior Advisor of Regulatory Principal

Scott Kimpson is the senior advisor for the Regulatory Principal department at 1st Global, where he is responsible for a wide range of suitability-related issues, including the review and approval of securities transactions originated in the field. He also helps provide training within the department, assists with regulatory inquiries and escalations, and answers questions regarding suitability and regulatory issues. He began his career at 1st Global in 2008 and enjoys being part of an environment full of people who bring a smile to his face each and every day.

Scott received his Bachelor of Science degree in finance from the University of South Florida and was led to the financial services industry because believes finance is “the lifeblood of our economy.” Prior to 1st Global, he gained valuable experience at Raymond James and Associates in its fee-based/managed assets sector before transitioning to the independent platform of Raymond James Financial as a compliance advisor. After his time at Raymond James, he had the privilege to supervise multiple producing branches, constantly taking pride in the service he provided. He appreciates that in his current role at 1st Global he is able to learn something new every day and use the knowledge he has gained along the way to help solve every issue that presents itself in the best way possible and with a focus on service. He has nearly 20 years of experience in the industry, is a Certified Annuity Specialist (CAS), and has passed his FINRA Series 7, 24, 53 and 66 exams.