Justin S. Davis
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.
Justin Scott Davis was a registered financial professional .
Justin is a previously registered financial professional and started their career in finance in 2005. Justin had worked at 6 firms and has passed the Series 66 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
January 28, 2022 - June 27, 2022
FROST INVESTMENT SERVICES
October 21, 2019 - December 31, 2021
FROST INVESTMENT SERVICES
October 21, 2019 - June 27, 2022
FROST BROKERAGE SERVICES, INC.
March 8, 2010 - March 19, 2010
BBVA COMPASS INVESTMENT SOLUTIONS, INC
August 7, 2009 - December 24, 2009
GUARANTY BROKERAGE SERVICES, INC.
March 29, 2006 - July 6, 2009
WELLS FARGO CLEARING SERVICES, LLC
March 29, 2006 - July 6, 2009
WELLS FARGO CLEARING SERVICES, LLC
February 27, 2006 - March 28, 2006
WELLS FARGO INVESTMENTS, LLC
December 9, 2005 - March 28, 2006
WELLS FARGO INVESTMENTS, LLC
Primary Firm SEC Registration
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
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
Current Firm
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
Contact information
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,179 |
| AUM (Assets Under Management) | $ 2,976,654,932 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2024 | ||
| 11/27/2023 | ||
| 12/21/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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