Scott P. Kaup
Professional summary
Scott Patrick Kaup is a registered financial professional currently at DFA SECURITIES LLC located in Austin, Texas.
Scott is registered as a RR (Registered Representative) and started their career in finance in 2001. Scott has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Scott Patrick Kaup's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 30, 2008 - Present
DFA SECURITIES LLC
Office #1: Palisades West, Building One 6300 Bee Cave Road, Austin, TX 78746December 20, 2001 - May 20, 2008
NATIONAL FINANCIAL SERVICES LLC
May 15, 2001 - December 20, 2001
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/30/2008)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
DFA SECURITIES LLC
CRD#: 10292 / SEC#: , 8-27006
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DIMENSIONAL FUND ADVISORS LP | DELAWARE LP AND SOLE MEMBER OF DFAS | |
| BOOTH, DAVID GILBERT | CHAIRMAN | 1031000 |
| BUTLER, DAVID PAUL | CO-CHIEF EXECUTIVE OFFICER | 2305298 |
| DALLMER, LISA MICHELE | CHIEF OPERATING OFFICER | 2586913 |
| GRZELAK, BERNARD JAMES | CHIEF FINANCIAL OFFICER, FINANCIAL OPERATIONS PRINCIPAL, AND PRINCIPAL OPERATING OFFICER | 4285750 |
| NEWELL, CATHERINE LEE | VICE PRESIDENT AND SECRETARY | 2890628 |
| NOTELOVITZ, SELWYN JUSTIN | GLOBAL CHIEF COMPLIANCE OFFICER | 2886676 |
| O'REILLY, GERARD KIERAN | CO-CHIEF EXECUTIVE OFFICER AND CO-CIO | 4982644 |
Red Flags
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