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Detailed Report
SCOTT DAVID COONROD
CRD#: 4311374
IA
Previous Investment Adviser
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Previous Broker
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
20042006200820102012201420162018202020222024IAFSC SECURITIES CORPORATION (CRD# 7461)2017 - 2022 (5 years)IAFSC SECURITIES CORPORATION (CRD# 7461)2017 - 2017 (<1 year)IAMORGAN STANLEY (CRD# 149777)2009 - 2017 (8 years)IAMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2007 - 2009 (2 years)IAMORGAN STANLEY (CRD# 7556)2007 - 2007 (<1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2003 - 2007 (3 years)
Disclosure(s)
View By:
4/21/2023
Customer Dispute
Pending
11/22/2022
Customer Dispute
Pending
3/3/2022
Judgment / Lien
1/31/2022
Judgment / Lien
11/3/2010
Customer Dispute
Settled
12/9/2009
Customer Dispute
Settled
Previous Registration(s)
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 11/06/2017 - 12/31/2022 FSC SECURITIES CORPORATION (CRD#:7461) BEND, OR
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 10/06/2017 - 10/25/2017 FSC SECURITIES CORPORATION (CRD#:7461) BEND, OR
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 06/01/2009 - 10/10/2017 MORGAN STANLEY (CRD#:149777) BEND, OR
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 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) BEND, OR
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 01/12/2007 - 04/02/2007 MORGAN STANLEY (CRD#:7556) BEND, OR
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 04/23/2003 - 01/25/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BEND, OR
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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.
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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.