Scott L. Dahlberg
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 Lawrence Dahlberg was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1993. Scott had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 2016 - June 27, 2017
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 26, 2016 - June 27, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 12, 2008 - June 23, 2016
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
December 12, 2008 - June 23, 2016
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 2, 2002 - December 16, 2008
WELLS FARGO CLEARING SERVICES, LLC
October 2, 2002 - December 16, 2008
WELLS FARGO CLEARING SERVICES, LLC
July 8, 1997 - October 10, 2002
UBS FINANCIAL SERVICES INC.
January 20, 1997 - October 10, 2002
UBS FINANCIAL SERVICES INC.
September 13, 1993 - January 24, 1997
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
