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Christopher David Scott

CRD# 2848092·Registered 1997 - 2013
Barred: Christopher David Scott was barred by the SEC and is not permitted to conduct business in the covered capacity.

Professional Summary

Christopher David Scott was a registered financial advisor. Christopher was a previously registered financial advisor and started their career in finance 1997 - 2013. Christopher had worked at 4 firms and has passed the Series 63, Series 55, Series 7, Series 53, Series 27, Series 4 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

29 years in the financial services industry

Current & Past Employments

SALT SPRAY CAPITAL·CRD# 149675
BD
Laguna Niguel, CA
October 13, 2009 - June 3, 2013
WESTCAP SECURITIES, INC.·CRD# 45250
RIA
Irvine, CA
March 23, 2004 - March 6, 2007
WESTCAP SECURITIES, INC.·CRD# 45250
BD
Irvine, CA
December 5, 2002 - March 6, 2007
FIRST ALLIED SECURITIES, INC.·CRD# 32444
BD
San Diego, CA
February 11, 2002 - December 4, 2002
INTERFIRST CAPITAL CORPORATION·CRD# 7659
BD
Los Angeles, CA
January 29, 1997 - February 11, 2002

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Current Firm

SS
SALT SPRAY CAPITAL

SALT SPRAY CAPITAL | SCOTT,CHRISTOPHER DAVID | SALT SPRAY CAPITAL LLC

CRD#: 149675 / SEC#: 8-68179
BD
Terminated by SEC on 12/14/2016

Contact Information

Established

California since 08/30/2010

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
SALT SPRAY HOLDINGS LLCSOLE MEMBER—
GOODIN, DIANE MARIECFO/FINOP3117840
VASILEV, CATHY MARVETTACCO4413359

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 1997About the Series 63 exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Nov 2001

Series 7 — General Securities Representative Examination

Passed Jan 1997About the Series 7 exam

Series 53 — Municipal Securities Principal Examination

Passed Jul 2006About the Series 53 exam

Series 27 — Financial and Operations Principal Examination

Passed Oct 2001About the Series 27 exam

Series 4 — Registered Options Principal Examination

Passed Mar 1998About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Jul 1997About the Series 24 exam

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CRS (Client Relationship Summary)

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

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