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MS

Michael Scott

TD PRIVATE CLIENT WEALTH
Greenville, SC 29607
Some features on this profile are disabled
CRD#: 5370297
MS
Michael ScottTD PRIVATE CLIENT WEALTH

Professional summary

Michael Scott, who also goes by Michael S Scott, Michael Steven Scott, is a registered financial professional currently at TD PRIVATE CLIENT WEALTH LLC located in Greenville, South Carolina.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2007. Michael has worked at 12 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 6 and Series 26 exams.

Aliases

Michael S Scott | Michael Steven Scott

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
SOLE PROP POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 12/01/2022 ADDRESS: 11 Patoine Place, Old Orchard Beach ME 04064, United States DESCRIPTION: We have a property manager in place, it is mostly just speaking with them and making sure that we get things done that are needed to be done.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Scott's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 17, 2026 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 200 Carolina Parkway 4th Floor, Greenville, SC 29607
RIA
BD
CRD#: 164484
Greenville, SC
Past

November 12, 2024 - June 30, 2026

ALLSTATE FINANCIAL ADVISORS, LLC

RIA
CRD#: 109524
Gorham, ME
Past

November 8, 2024 - June 30, 2026

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
GORHAM, ME
Past

June 2, 2021 - November 12, 2024

TD PRIVATE CLIENT WEALTH LLC

RIA
CRD#: 164484
PORTLAND, ME
Past

June 1, 2021 - November 1, 2024

TD PRIVATE CLIENT WEALTH LLC

BD
CRD#: 164484
PORTLAND, ME
Past

April 13, 2020 - January 26, 2021

TD AMERITRADE, INC.

RIA
CRD#: 7870
Portland, ME
Past

April 13, 2020 - March 17, 2021

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
SOuth Portland, ME
Past

April 13, 2020 - January 11, 2021

TD AMERITRADE, INC.

BD
CRD#: 7870
Portland, ME
Past

August 26, 2019 - March 6, 2020

EDWARD JONES

RIA
CRD#: 250
South Portland, ME
Past

July 3, 2019 - February 26, 2020

EDWARD JONES

BD
CRD#: 250
South Portland, ME
Past

July 18, 2018 - June 26, 2019

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

October 20, 2016 - March 6, 2018

SAMMONS FINANCIAL NETWORK, LLC

BD
CRD#: 158538
WEST DES MOINES, IA
Past

October 23, 2012 - January 2, 2015

NEW ENGLAND SECURITIES

BD
CRD#: 615
CHARLOTTE, NC
Past

October 23, 2012 - June 30, 2016

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
CHARLOTTE, NC
Past

February 15, 2011 - October 3, 2016

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 107622
CHARLOTTE, NC
Past

September 16, 2009 - September 21, 2010

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 107622
WEST DES MOINES, IA
Past

April 9, 2008 - August 25, 2009

BANCWEST INVESTMENT SERVICES, INC.

BD
CRD#: 29357
AMES, IA
Past

August 10, 2007 - April 18, 2008

NEW ENGLAND SECURITIES

BD
CRD#: 615
WEST DES MOINES, IA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484 / SEC#: 801-77771, 8-69105

RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
North Carolina
(7/17/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/17/2019
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/23/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/26/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 8/9/2007
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 1/20/2012
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484 / SEC#: 801-77771, 8-69105

RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1 Vanderbilt Avenue 23rd Floor 23rd Floor, New York, NY, 10017
Mailing Address
1 Vanderbilt Avenue 23rd Floor, New York, NY, 10017
Phone number
(877) 703-9896
Established
Delaware since 07/13/2012
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
671

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

TD PRIVATE CLIENT WEALTH LLC MANAGED ACCOUNT PROGRAM BROCHURE JANUARY 31 2026 (1/29/2026)
TDPCW AUTOMATED INVESTING AND AUTOMATED INVESTING PLUS PROGRAM BROCHURE JANUARY 31 2026 (1/29/2026)

Direct owners and executive officers

NamePositionCRD#
TD BANK, NATIONAL ASSOCIATIONOWNER
BEGUN, ROBERTPRESIDENT4436053
CALDERON NAJERA, NAYRACCO5040972
CARROLL, ANNACOO4487506
CHABOT, ALAN JCEO2617874
ORTIZ, JORGE LUISCFO & FINOP2725922
WILSON, KEVIN KEITHFINOP5437711

Regulatory assets under management

Total Number of Accounts25,697
AUM (Assets Under Management)$ 8,255,945,350

Disclosures

Regulatory Event3

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
05/30/2025
Cover Page
Report
09/27/2024
Cover Page
Report
06/27/2023
Cover Page
Report

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.

Company Information

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484Greenville, SC 29607

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