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Detailed Report
DAVID MICHAEL SCOTT
DAVID M SCOTT JR, DAVID MICHAEL SCOTT JR
CRD#: 5988312
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 74785 Highway 111
Suite 102
Indian Wells, CA 92210-7129
Registration History
201220142016201820202022202420262 FIRMS2011 - 2013 (1 year)2 FIRMS2014 - Present (11 years)
License(s)

State Registrations

B
Alaska 1/2/2018
B
Michigan 3/28/2019
B
Arizona 3/31/2014
B
Minnesota 3/31/2014
IA
California 3/24/2014
B
Missouri 3/24/2022
B
California 3/31/2014
B
Nebraska 5/26/2020
B
Colorado 3/31/2014
B
Nevada 5/26/2020
B
Connecticut 6/7/2016
B
New York 5/26/2020
B
District of Columbia 4/16/2021
B
North Carolina 10/26/2015
B
Florida 4/16/2021
B
Oregon 3/31/2014
B
Hawaii 5/10/2016
B
South Dakota 9/13/2016
B
Idaho 1/8/2015
B
Tennessee 4/16/2021
B
Illinois 3/28/2019
B
Texas 3/31/2014
B
Kansas 5/26/2020
IA
Texas 2/5/2021
B
Louisiana 5/26/2020
B
Virginia 3/3/2023
B
Maine 3/31/2014
B
Washington 3/31/2014
B
Massachusetts 5/26/2020
B
Wyoming 3/31/2014

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

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
CHARLES SCHWAB & CO., INC. (CRD#:5393)
74785 Highway 111 Suite 102, Indian Wells, CA 92210-7129
Registered with this firm since 3/24/2014
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
74785 Highway 111 Suite 102, Indian Wells, CA 92210-7129
Registered with this firm since 3/31/2014
Previous Registration(s)
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IA
 12/20/2011 - 05/20/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN DIEGO, CA
B
 11/17/2011 - 05/20/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN DIEGO, CA
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.