Scott D. Purcell
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 Purcell, who also goes by Scott David Steele, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1987. Scott had worked at 5 firms and has passed the Series 63, 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
December 23, 1992 - April 11, 1995
TDI, INCORPORATED
November 10, 1988 - December 30, 1994
THE TRADING DESK, INC.
November 5, 1987 - December 3, 1988
SENTRA SECURITIES CORPORATION
February 19, 1987 - March 16, 1987
LUMIERE SECURITIES, INC.
February 19, 1987 - November 11, 1987
MESA SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TDI, INCORPORATED
CRD#: 30629 / SEC#: , 8-45046
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MANNING, JERRY WAYNE | CEO AND FINANCIAL PRINCIPAL | 848596 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
