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Detailed Report
SCOTT M. ZINDLER
SCOTT M ZINDLER, SCOTT MICHAEL ZINDLER
CRD#: 2707744
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 717 Texas Avenue
Suite 3050
Houston, TX 77002
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2007 - 2009 (1 year)2 FIRMS2009 - 2012 (2 years)2 FIRMS2021 - Present (3 years)BBBVA SECURITIES INC. (CRD# 27060)2013 - 2021 (8 years)BBBVA COMPASS INVESTMENT SOLUTI... (CRD# 17086)2012 - 2013 (1 year)BA. G. EDWARDS & SONS, INC. (CRD# 4)1997 - 2007 (10 years)BOLDE DISCOUNT CORPORATION (CRD# 5979)1996 - 1997 (1 year)IABBVA WEALTH SOLUTIONS INC. (CRD# 110476)2012 - 2021 (9 years)IAA. G. EDWARDS & SONS, INC. (CRD# 4)2002 - 2007 (5 years)
License(s)

State Registrations

B
Alabama 1/10/2025
B
Mississippi 1/10/2025
B
Alaska 1/10/2025
B
Missouri 8/26/2021
B
Arizona 6/2/2021
B
Montana 1/10/2025
B
Arkansas 1/10/2025
B
Nebraska 1/10/2025
B
California 6/2/2021
B
Nevada 1/10/2025
B
Colorado 6/2/2021
B
New Hampshire 1/10/2025
B
Connecticut 3/22/2023
B
New Jersey 6/2/2021
B
Delaware 6/2/2021
B
New Mexico 1/10/2025
B
District of Columbia 1/10/2025
B
New York 6/2/2021
B
Florida 6/2/2021
B
North Carolina 1/10/2025
B
Georgia 1/10/2025
B
North Dakota 2/28/2025
B
Hawaii 1/10/2025
B
Ohio 1/13/2025
B
Idaho 1/10/2025
B
Oklahoma 6/2/2021
B
Illinois 1/10/2025
B
Oregon 1/10/2025
B
Indiana 1/10/2025
B
Pennsylvania 6/2/2021
B
Iowa 1/10/2025
B
South Carolina 1/10/2025
B
Kansas 1/10/2025
B
Tennessee 1/10/2025
B
Kentucky 1/10/2025
B
Texas 6/2/2021
B
Louisiana 1/10/2025
IA
Texas 6/2/2021
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Maine 8/30/2021
B
Virginia 1/10/2025
B
Maryland 1/10/2025
B
Washington 1/10/2025
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Massachusetts 1/10/2025
B
Wisconsin 1/10/2025
B
Michigan 1/10/2025
B
Wyoming 1/10/2025
B
Minnesota 1/10/2025

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
717 Texas Avenue Suite 3050, Houston, TX 77002
Registered with this firm since 6/2/2021
B
MORGAN STANLEY (CRD#:149777)
717 Texas Avenue Suite 3050, Houston, TX 77002
Registered with this firm since 6/2/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/09/2012 - 06/02/2021 BBVA WEALTH SOLUTIONS INC. (CRD#:110476) HOUSTON, TX
B
 05/16/2013 - 06/02/2021 BBVA SECURITIES INC. (CRD#:27060) HOUSTON, TX
B
 01/06/2012 - 05/16/2013 BBVA COMPASS INVESTMENT SOLUTIONS, INC (CRD#:17086) HOUSTON, TX
IA
 05/15/2009 - 01/05/2012 LPL FINANCIAL LLC (CRD#:6413) HOUSTON, TX
B
 05/15/2009 - 01/05/2012 LPL FINANCIAL LLC (CRD#:6413) HOUSTON, TX
IA
 08/20/2007 - 06/04/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) HOUSTON, TX
B
 08/20/2007 - 06/04/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) HOUSTON, TX
IA
 08/22/2002 - 08/28/2007 A. G. EDWARDS & SONS, INC. (CRD#:4) HOUSTON, TX
B
 04/30/1997 - 08/28/2007 A. G. EDWARDS & SONS, INC. (CRD#:4) HOUSTON, TX
B
 02/28/1996 - 04/23/1997 OLDE DISCOUNT CORPORATION (CRD#:5979) DETROIT, MI
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.