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David Andrew Scott

UBS Securities LLC

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About David Andrew Scott

David Andrew Scott is a financial advisor with UBS Securities LLC, a broker-dealer with a national scope of practice. He is a registered representative with the firm and holds Series 7, Series 66, Series 79TO and SIE licenses. David Scott has been active in the industry since September 7, 2018. Before joining UBS Securities LLC, he was a financial advisor with UBS Financial Services Inc. from August 13, 2018 to June 16, 2021.

Firm Information

David Scott is currently registered with UBS Securities LLC. UBS Securities LLC is a Limited Liability Company formed on June 29, 1998. The firm is registered with the SEC and in all 50 states, as well as in Puerto Rico. UBS Securities LLC has been involved in 307 regulatory events, 5 civil events, and 3 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

507

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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David Scott’s Registration & Firm History

NY

07/13/2021 - Present

UBS Securities LLC (New York NY)

TX

08/13/2018 - 06/16/2021

UBS FINANCIAL SERVICES INC. (HOUSTON TX)

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Licenses & Designations

BOTH

Issued 10/14/2018

Series 66 - Uniform Combined State Law Examination

BC

Issued 09/10/2021

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/13/2018

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for David Andrew Scott.
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