Scott D. Beck
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 David Beck, who also goes by Scott D Beck, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1987. Scott had worked at 11 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 29, 2016 - January 10, 2019
DAKOY CAPITAL MARKETS LLC
October 26, 2011 - April 11, 2014
RBC CAPITAL MARKETS, LLC
December 1, 2009 - October 5, 2011
SG AMERICAS SECURITIES, LLC
July 9, 2009 - November 18, 2009
FIRST NEW YORK SECURITIES L.L.C.
December 5, 2008 - July 13, 2009
X-CHANGE FINANCIAL ACCESS, LLC
October 9, 2007 - February 28, 2008
MORGAN STANLEY MARKET PRODUCTS INC.
October 9, 2007 - February 28, 2008
MORGAN STANLEY & CO. LLC
March 9, 2005 - October 17, 2007
BANC OF AMERICA SECURITIES LLC
March 26, 2003 - March 17, 2005
LEHMAN BROTHERS INC.
May 17, 1994 - March 26, 2003
GOLDMAN SACHS & CO. LLC
May 4, 1992 - May 14, 1994
GOLDMAN SACHS MONEY MARKETS, L.P.
August 30, 1990 - April 14, 1992
GOLDMAN SACHS & CO. LLC
July 28, 1989 - August 16, 1989
LEHMAN BROTHERS INC.
September 22, 1987 - July 21, 1988
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
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Exams
Current Firm
DAKOY CAPITAL MARKETS LLC
CRD#: 169954 / SEC#: , 8-69401
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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