Scott M. 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.
Scott Michael Davis was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1974. Scott had worked at 6 firms and has passed the Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 2000 - February 13, 2001
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
November 20, 1987 - August 18, 2000
ADAMS, HESS, MOORE & CO.
October 12, 1983 - December 16, 1987
E. F. HUTTON & COMPANY INC
September 25, 1974 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
March 27, 1974 - October 19, 1974
BLYTH EASTMAN DILLON & CO. INCORPORATED
March 26, 1974 - October 14, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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: 3/26/1974
General Securities Principal ExaminationSeries 1
Date: 3/26/1974
Registered Representative ExaminationCurrent Firm
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
CRD#: 1254 / SEC#: 801-67179, 8-2915
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 2,712 |
| AUM (Assets Under Management) | $ 990,880,713 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2023 |
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.
