Scott D. Davies
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.
Scott Daniel Davies was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2000. Scott had worked at 4 firms and has passed the Series 63, SIE, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2020 - December 21, 2022
CONFLUENCE CAPITAL INVESTMENTS LLC
August 19, 2015 - February 16, 2016
OPPENHEIMER & CO. INC.
February 15, 2013 - February 16, 2016
OPPENHEIMER & CO. INC.
November 10, 2004 - September 10, 2012
BROWN BROTHERS HARRIMAN & CO.
September 26, 2000 - January 2, 2003
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
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Exams
Current Firm
CONFLUENCE CAPITAL INVESTMENTS LLC
CRD#: 304950 / SEC#:
Contact information
Red Flags
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