Donald J. Scott
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.
Donald Jamieson Scott, who also goes by Donald Scott, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1971. Donald had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 000, Series 1, Series 8 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 23, 2010 - October 13, 2015
WELLS FARGO CLEARING SERVICES, LLC
November 19, 2009 - October 13, 2015
WELLS FARGO CLEARING SERVICES, LLC
July 29, 1994 - August 2, 2005
KEYBANC CAPITAL MARKETS INC.
July 25, 1994 - August 2, 2005
KEYBANC CAPITAL MARKETS INC.
March 20, 1986 - July 5, 1994
UBS FINANCIAL SERVICES INC.
March 5, 1982 - April 15, 1986
E. F. HUTTON & COMPANY INC
March 10, 1980 - December 10, 1983
UBS FINANCIAL SERVICES INC.
August 23, 1977 - April 10, 1980
INTEGRATED RESOURCES EQUITY CORPORATION
January 2, 1974 - February 17, 1983
INTEGRATED RESOURCES MARKETING, INC.
November 17, 1972 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
November 24, 1971 - November 17, 1972
EASTMAN DILLON, UNION SECURITIES & CO., INCORPORATED
Primary Firm SEC Registration
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
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 000
Date: 11/23/1971
General Securities Principal ExaminationSeries 1
Date: 11/23/1971
Registered Representative ExaminationSeries 8
Date: 12/30/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Series 00
Date: 1/2/1974
General Securities Principal ExaminationCurrent Firm
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 182 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
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.
