Scott B. Dauer
Professional summary
Scott B Dauer, who also goes by Scott B. Dauer, is a registered financial professional currently at KINGSROCK SECURITIES LLC located in New York, New York.
Scott is registered as a RR (Registered Representative) and started their career in finance in 1999. Scott has worked at 3 firms and has passed the Series 63, Series 82TO, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Scott B Dauer's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 18, 2024 - Present
KINGSROCK SECURITIES LLC
Office #1: 900 Third Avenue - Suite 1801, New York, NY 10022October 1, 2008 - November 6, 2023
J.P. MORGAN SECURITIES LLC
March 9, 2004 - October 1, 2008
J.P. MORGAN SECURITIES INC.
October 8, 1999 - December 5, 2002
J.P. MORGAN SECURITIES 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
(10/18/2024)
Exams
Series 82TO
Date: 10/18/2024
Limited Representative-Private Securities OfferingsSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
KINGSROCK SECURITIES LLC
CRD#: 325143 / SEC#: , 8-71064
Contact information
FINRA licenses (6 States and Territories)
Red Flags
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