David H. Scott
Professional summary
David Howard Scott, who also goes by David H Scott, is a registered financial professional currently at X-CHANGE FINANCIAL ACCESS, LLC located in Chicago, Illinois.
David is registered as a RR (Registered Representative) and started their career in finance in 1998. David has worked at 2 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Howard Scott's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 17, 2008 - Present
X-CHANGE FINANCIAL ACCESS, LLC
Office #1: 222 W Adams Street Suite 450, Chicago, IL 60606November 4, 2008 - November 5, 2008
X-CHANGE FINANCIAL ACCESS, LLC
December 14, 1998 - November 21, 2008
CITIGROUP GLOBAL MARKETS INC.
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
Series 99TO
Date: 7/25/2024
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamCboe Exchange, Inc.
FINRA
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
Current Firm
X-CHANGE FINANCIAL ACCESS, LLC
CRD#: 126201 / SEC#: , 8-65860
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 32 |
Red Flags
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