David P. Scott
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.
David Paul Scott was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1975. David had worked at 9 firms and has passed the Series 63, Series 5 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
September 23, 2020 - October 7, 2021
CREATIVE PLANNING
May 18, 1994 - June 30, 2020
SUNRISE ADVISORS
March 23, 1994 - December 31, 1996
VSR FINANCIAL SERVICES, INC.
March 23, 1990 - September 30, 1993
OPPENHEIMER & CO. INC.
March 18, 1986 - March 23, 1990
B.C. CHRISTOPHER SECURITIES CO.
February 18, 1983 - March 25, 1986
E. F. HUTTON & COMPANY INC
September 26, 1978 - March 17, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 9, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
November 23, 1977 - September 16, 1978
BLYTH EASTMAN DILLON & CO. INCORPORATED
September 25, 1975 - December 23, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
CREATIVE PLANNING
CRD#: 105348 / SEC#: 801-18564
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 5
Date: 6/18/1982
Interest Rate Options ExaminationCurrent Firm
CREATIVE PLANNING
CRD#: 105348 / SEC#: 801-18564
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 269,686 |
| AUM (Assets Under Management) | $ 217,399,324,981 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/27/2025 | ||
| 09/19/2024 | ||
| 01/03/2024 | ||
| 01/18/2023 |
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.
