SD
Scott W. Doll
DOLL CAPITAL ADVISORS
SAN JUAN CAPISTRANO, CA 92675
Some features on this profile are disabled
CRD#: 1087992
SD
Professional summary
Scott Willard Doll is a registered financial advisor currently at DOLL CAPITAL ADVISORS INCORPORATED located in San Juan Capistrano, California and LPL FINANCIAL LLC located in San Juan Capistrano, California.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Scott has worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. 09/16/1999 - SCOTT W. DOLL INVESTMENTS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time spent 0%. 2. 10/9/2007: Doll Capital Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Financial Planning for hourly and fixed fees. 3. 06/13/2011: No Business Name - At Reported Business Location(s) - Other-Trails - Time Spent 0% - Receiving trails from outside insurance contracts: Life, Long-Term Care. 4. 10/6/2015: DOLL CAPITAL ADVISORS, INC. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 10/06/2015 - 10 Hours Per Month/5 Hours During Securities Trading. 5. 08/02/2024 - Doll Capital Advisors, Inc. - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 04/30/2022 - 120 Hours Per Month/ 80 Hours During Trading - I provide investment advisory services through Doll Capital Advisors, Inc., an independent investment advisor firm. I started this business activity in 4/30/2022. I expect to spend approximately 120 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Willard Doll's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 2, 2024 - Present
DOLL CAPITAL ADVISORS INCORPORATED
Office #1: 30448 Rancho Viejo Rd Ste 140 Suite 140, San Juan Capistrano, CA 92675RIA
CRD#: 134089
SAN JUAN CAPISTRANO, CA
Current
January 4, 1996 - Present
LPL FINANCIAL LLC
Office #1: 30448 Rancho Viejo Rd Ste 140, San Juan Capistrano, CA 92675RIA
BD
CRD#: 6413
SAN JUAN CAPISTRANO, CA
Past
December 31, 1997 - June 30, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
May 30, 1992 - January 5, 1996
BA INVESTMENT SERVICES, INC.
BD
CRD#: 12965
OAKLAND, CA
Past
May 8, 1990 - June 30, 1992
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
Past
May 12, 1988 - June 30, 1992
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
October 1, 1987 - April 14, 1988
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
Past
June 17, 1985 - October 8, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Past
October 20, 1983 - May 28, 1985
MF GLOBAL INC.
BD
CRD#: 6731
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(9/17/1996)
RR
California(1/17/1996)
IAR
California(8/2/2024)
RR
Colorado(8/2/2005)
RR
Florida(2/6/2013)
RR
Idaho(9/1/2015)
RR
Nevada(6/26/2013)
RR
Ohio(5/23/2006)
RR
Oregon(1/7/2022)
RR
Tennessee(9/9/2022)
RR
Texas(3/24/2017)
RR
Vermont(6/6/2019)
RR
Washington(5/3/2005)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
DC
DOLL CAPITAL ADVISORS INCORPORATED
DOLL CAPITAL ADVISORS | DOLL, SCOTT WILLARD, DOLL CAPITAL ADVISORS | DOLL, SCOTT WILLARD | DOLL CAPITAL ADVISORS, INCORPORATED | DOLL CAPITAL ADVISORS INCORPORATED
CRD#: 134089 / SEC#:
California
Registered Investment Advisory firm - (3/5/1996 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
30448 Rancho Viejo Rd Ste 140 Suite 140, San Juan Capistrano, CA 92675
Mailing Address
Phone number
(949) 497-6366
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 113 |
| AUM (Assets Under Management) | $ 61,684,141 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
