Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Kaup is a financial advisor with over 20 years of experience in the industry. Scott is currently registered with DFA Securities LLC in Austin, Texas. Prior to joining DFA Securities LLC, Scott worked at National Financial Services LLC and Fidelity Brokerage Services LLC. Scott holds Series 7, 24, 63, 99TO and SIE licenses.
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.
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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2
TX
05/30/2008 - Present
DFA Securities LLC (AUSTIN TX)
TX
12/20/2001 - 05/20/2008
NATIONAL FINANCIAL SERVICES LLC (WESTLAKE TX)
RI
05/15/2001 - 12/20/2001
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
BC
Issued 05/21/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/21/2006
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/07/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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