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SCOTT ALLEN ALTENBURG NFA ID: 0248596 Current Status • COMMODITY TRADING ADVISOR REGISTERED  ALTENBURG, SCOTT ALLEN  • PRINCIPAL APPROVED  INVESTCORE PARTNERS  • NFA ASSOCIATE MEMBER APPROVED  • ASSOCIATED PERSON REGISTERED  • PRINCIPAL APPROVED  Regulatory Actions  Agency Number NFA 1 CFTC 0 Exchanges 0 details...   NFA Arbitration Decisions  Role Number Claimant 0 Respondent 0 details...   CFTC Reparations Cases Total 0 details... Formerly Known As No other names   Business Address 130 VANTIS DRIVE SUITE 270 ALISO VIEJO, CA  92656 UNITED STATES 949-812-4040 Security Futures Proficiency Training  Description Date SECURITY FUTURES TRAINING COMPLETED 11/26/2002 SECURITY FUTURES PRINCIPAL TRAINING COMPLETED 11/27/2002 Doing Business As No other names Listed Principals  Listed Principal Name Title 10% or More Financial Interest SCOTT ALLEN ALTENBURG SOLE PROPRIETOR YES History  Status Effective Date • COMMODITY TRADING ADVISOR REGISTERED 11/18/2008  • COMMODITY TRADING ADVISOR PENDING 10/07/2008  ALTENBURG, SCOTT ALLEN  • PRINCIPAL APPROVED 10/08/2008  • PRINCIPAL PENDING 10/07/2008  AMERIVEST BROKERAGE SERVICES INC  • ASSOCIATED PERSON WITHDRAWN 01/29/1996  • NFA ASSOCIATE MEMBER WITHDRAWN 01/29/1996  • ASSOCIATED PERSON REGISTERED 03/08/1995  • NFA ASSOCIATE MEMBER APPROVED 01/26/1995  • ASSOCIATED PERSON TEMPORARY LICENSE 01/26/1995  AVALON ASSET MANAGEMENT LLC  • ASSOCIATED PERSON WITHDRAWN 02/03/2012  • NFA ASSOCIATE MEMBER WITHDRAWN 02/03/2012  • PRINCIPAL WITHDRAWN 02/03/2012  • NFA ASSOCIATE MEMBER APPROVED 04/12/2006  • ASSOCIATED PERSON REGISTERED 04/12/2006  • PRINCIPAL APPROVED 04/10/2006  • NFA ASSOCIATE MEMBER PENDING 04/10/2006  • ASSOCIATED PERSON PENDING 04/10/2006  AVALON CAPITAL ADVISORS LLC  • ASSOCIATED PERSON WITHDRAWN 02/03/2012  • NFA ASSOCIATE MEMBER WITHDRAWN 02/03/2012  • PRINCIPAL WITHDRAWN 02/03/2012  • NFA ASSOCIATE MEMBER APPROVED 04/12/2006  • ASSOCIATED PERSON REGISTERED 04/12/2006  • PRINCIPAL APPROVED 04/06/2006  • NFA ASSOCIATE MEMBER PENDING 04/06/2006  • ASSOCIATED PERSON PENDING 04/06/2006  BARONS WORLDWIDE FINANCIAL SERVICES  • ASSOCIATED PERSON WITHDRAWN 12/28/1994  • NFA ASSOCIATE MEMBER WITHDRAWN 12/28/1994  • ASSOCIATED PERSON REGISTERED 06/15/1993  • NFA ASSOCIATE MEMBER APPROVED 05/22/1993  • ASSOCIATED PERSON TEMPORARY LICENSE 05/22/1993  INVESTCORE PARTNERS  • NFA ASSOCIATE MEMBER APPROVED 04/17/2003  • ASSOCIATED PERSON REGISTERED 04/17/2003  • PRINCIPAL APPROVED 01/25/2003  • NFA ASSOCIATE MEMBER PENDING 01/24/2003  • ASSOCIATED PERSON PENDING 01/24/2003  • PRINCIPAL PENDING 01/24/2003  OPPORTUNITIES IN OPTIONS  • ASSOCIATED PERSON WITHDRAWN 07/01/2004  • BRANCH MANAGER WITHDRAWN 07/01/2004  • NFA ASSOCIATE MEMBER WITHDRAWN 07/01/2004  • BRANCH MANAGER APPROVED 04/11/2000  • BRANCH MANAGER PENDING STATUS WITHDRAWN 04/17/1999  • ASSOCIATED PERSON REGISTERED 02/23/1999  • BRANCH MANAGER PENDING 02/01/1999  • NFA ASSOCIATE MEMBER APPROVED 01/26/1999  • ASSOCIATED PERSON TEMPORARY LICENSE 01/26/1999  • ASSOCIATED PERSON WITHDRAWN 08/18/1997  • NFA ASSOCIATE MEMBER WITHDRAWN 08/18/1997  • ASSOCIATED PERSON REGISTERED 05/19/1997  • NFA ASSOCIATE MEMBER APPROVED 05/19/1997  TRADELINE BROKERAGE SERVICES LLC  • ASSOCIATED PERSON WITHDRAWN 01/19/1999  • NFA ASSOCIATE MEMBER WITHDRAWN 01/19/1999  • ASSOCIATED PERSON REGISTERED 01/29/1996  • NFA ASSOCIATE MEMBER APPROVED 01/29/1996