Scott D. Thompson
Professional summary
Scott Devon Thompson, who also goes by Scott Thompson, is a registered financial professional currently at DFA SECURITIES LLC located in Charlotte, North Carolina.
Scott is registered as a RR (Registered Representative) and started their career in finance in 2022. Scott has worked at 1 firm and has passed the SIE, Series 7TO and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Scott Devon Thompson's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 22, 2022 - Present
DFA SECURITIES LLC
Office #1: 1515 South Tryon Street, Charlotte, NC 28203State 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 7TO
Date: 8/15/2022
General Securities Representative 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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