Individual Firm
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SCOTT ALAN DAVIS
CRD#: 3224197
IA
B
LPL ENTERPRISE, LLCCRD#: 8733 223 NORTH ROUTE 21
SUITE 28
GURNEE, IL 60031
SUITE 28
GURNEE, IL 60031
View By:
12/8/2022
Customer Dispute
Award / Judgment
State Registrations
B
Arizona 11/14/2024
B
Minnesota 11/14/2024
B
California 11/14/2024
B
Nevada 11/14/2024
B
Florida 11/18/2024
B
Ohio 12/12/2024
B
Illinois 11/14/2024
B
Tennessee 11/14/2024
IA
Illinois 11/14/2024
B
Texas 11/14/2024
B
Iowa 11/14/2024
B
Virginia 11/20/2024
B
Kentucky 11/14/2024
B
Washington 11/14/2024
B
Michigan 11/14/2024
B
Wisconsin 11/14/2024
SRO Registrations
B
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IA
Registered with this firm since 11/14/2024
B
Registered with this firm since 11/14/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/10/2013 - 11/14/2024 | GURNEE, IL | |
B | 12/06/2013 - 11/14/2024 | GURNEE, IL | |
IA | 12/13/2001 - 11/26/2013 | GURNEE, IL | |
B | 05/20/1999 - 11/26/2013 | GURNEE, IL | |
B | 05/20/1999 - 07/09/2007 | GURNEE, IL |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.