Scott K. Davis

Some features on this profile are disabled

CRD#: 1252573

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Scott Kelso Davis was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 1986. Scott had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 25, 2016 - September 23, 2016

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

July 1, 2016 - March 28, 2023

OSAIC INSTITUTIONS, INC.

RIA

CRD#: 35371

MERIDEN, CT

Past

July 1, 2016 - March 28, 2023

OSAIC INSTITUTIONS, INC.

CRD#: 35371

MERIDEN, CT

Past

August 6, 2014 - July 1, 2016

ESSEX NATIONAL SECURITIES, LLC

RIA

CRD#: 25454

NAPA, CA

Past

March 9, 2006 - July 1, 2016

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

November 19, 2003 - February 3, 2006

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

SAN DIEGO, CA

Past

July 9, 1998 - November 5, 2002

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

June 6, 1994 - August 6, 1996

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

February 9, 1993 - January 18, 1994

BAYBANKS BROKERAGE SERVICES, INC.

CRD#: 17536

Past

May 17, 1989 - December 4, 1992

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

NEW YORK, NY

Past

December 26, 1986 - May 26, 1989

ADVEST, INC.

CRD#: 10

HARTFORD, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 1/7/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/20/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/27/1993

General Securities Principal Examination

Current Firm

ESSEX NATIONAL SECURITIES, LLC

ESSEX NATIONAL SECURITIES, INC. | ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454 / SEC#: 801-70990, 8-41750

Terminated by SEC on 09/13/2016

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

550 Gateway Drive Suite 210, Napa, CA 94558

Mailing Address

Phone number

Established

Delaware since 06/27/2012

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
ESSEX NATIONAL HOLDING COMPANY, LLC	OWNER
AMARANTE, STEPHEN PAUL	CHAIRMAN OF BOARD OF DIRECTORS	3165067
COONEY, JOHN MICHAEL	COO, CHIEF COMPLIANCE OFFICER, CFO, TREASURER, ROSFP	1326757
CUMMINGS, WILLIAM FRANCIS	DIRECTOR	4761165
DAVIS, SCOTT KELSO	PRESIDENT, CEO, DIRECTOR	1252573

Disclosures

Regulatory Event

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Scott K. Davis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OSAIC INSTITUTIONS, INC.

OSAIC INSTITUTIONS, INC.

ESSEX NATIONAL SECURITIES, LLC

ESSEX NATIONAL SECURITIES, LLC

CUSO FINANCIAL SERVICES, L.P.

ESSEX NATIONAL SECURITIES, LLC

ESSEX NATIONAL SECURITIES, LLC

BAYBANKS BROKERAGE SERVICES, INC.

GLEACHER & COMPANY SECURITIES, INC.

ADVEST, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/7/1987

SIE

Date: 10/1/2018

Series 7

Date: 12/20/1986

Series 24

Date: 4/27/1993

Current Firm

ESSEX NATIONAL SECURITIES, LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ESSEX NATIONAL SECURITIES, LLC

TRUST BUT VERIFY

Similar Advisors