David W. Schott

STERN BROTHERS & CO.

New York, NY 10020

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CRD#: 2100445

Professional summary

David William Schott is a registered financial professional currently at STERN BROTHERS & CO. located in New York, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 1996. David has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 52 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) - BD

Click below to view David William Schott's CRS (Customer Relationship Summary).

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®

None

Experience

Current

February 21, 2024 - Present

STERN BROTHERS & CO.

Office #1: 1270 Avenue Of The Americas Suite 724, New York, NY 10020

CRD#: 16325

New York, NY

Past

July 23, 2018 - December 31, 2023

STERN BROTHERS & CO.

CRD#: 16325

New York, NY

Past

November 6, 2009 - May 29, 2018

WELLS FARGO SECURITIES, LLC

CRD#: 126292

NEW YORK, NY

Past

March 24, 2008 - November 6, 2009

WELLS FARGO BROKERAGE SERVICES, L.L.C.

CRD#: 16100

NEW YORK, NY

Past

October 2, 2000 - December 13, 2007

LASALLE FINANCIAL SERVICES, INC.

CRD#: 20373

CHICAGO, IL

Past

March 29, 1999 - October 11, 2000

ABN AMRO INCORPORATED

CRD#: 15776

STAMFORD, CT

Past

June 19, 1998 - April 29, 1999

J.C. BRADFORD & CO.

CRD#: 1287

NEW YORK, NY

Past

May 7, 1996 - June 10, 1998

HUNTINGTON SECURITIES, INC.

CRD#: 2261

COLUMBUS, OH

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: 7/8/1996

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: 1/8/1999

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 2/24/1993

Municipal Securities Representative Examination

SRO Registrations

FINRA

Current Firm

STERN BROTHERS & CO.

BINGHAM & COMPANY CAPITAL MARKETS, INC. | STERN BROTHERS & CO. PUBLIC FINANCE | STERN BROTHERS & CO.

CRD#: 16325 / SEC#: , 8-33724

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

8000 Maryland Ave. Suite 800, St. Louis, MO 63105-3911

Mailing Address

8000 Maryland Ave. Suite 800, St. Louis, MO 63105-3911

Phone number

(314) 727-5519

Established

Missouri since 01/25/1985

Firm type

Corporation

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (41 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PEGGY P FINN REVOCABLE TRUST DTD 11-7-1996 AS AMENDED	TRUST
PEGGY P. FINN 2012 TRUST DATED 12-21-2012	TRUST
CLEMENTS, DONALD SIDNEY	CHIEF TECHNOLOGY OFFICER	4440518
ESSERT, GLENN EDWARD	CHIEF COMPLIANCE OFFICER, AMLCO	1447868
FINN, PEGGY PRINCE	CHAIRMAN OF THE BOARD, DIRECTOR, CEO, SECRETARY, TRUSTEE	730640
FINN, TERRENCE MICHAEL	PRESIDENT, DIRECTOR	1102166
MIRIANI, JASON ANDREW	CFO, TREASURER	4547660
WARREN, KAREN KAY	PRINCIPAL OPERATIONS OFFICER	1316200

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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David W. Schott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David William Schott's CRS (Customer Relationship Summary).

Certified licenses

Experience

STERN BROTHERS & CO.

WELLS FARGO SECURITIES, LLC

WELLS FARGO BROKERAGE SERVICES, L.L.C.

LASALLE FINANCIAL SERVICES, INC.

ABN AMRO INCORPORATED

J.C. BRADFORD & CO.

HUNTINGTON SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/8/1996

SIE

Date: 10/1/2018

Series 7

Date: 1/8/1999

Series 52

Date: 2/24/1993

FINRA

Current Firm

STERN BROTHERS & CO.

Contact information

FINRA licenses (41 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

STERN BROTHERS & CO.

TRUST BUT VERIFY

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