David Vaughan Scott

Current Employers

Employment History

• 05/2009 → 11/2016
  Wells Fargo Advisors Llc
  New Albany, IN
• 11/2016 → 02/2020
  Wells Fargo Clearing Services, Llc
  New Albany, IN
• 02/2020 → Present
  Axiom Financial Strategies Group, Llc
  New Albany, IN
• 04/2020 → Present
  Spring Street Solutions, Llc
  New Albany, IN

Previous Registrations

• 2009-03-27 → 2020-03-03
  Wells Fargo Clearing Services, Llc
  New Albany, IN
  Louisville, KY
  New Albany, IN
• 2003-06-12 → 2009-04-15
  Citigroup Global Markets Inc.
  New Albany, IN
• 2000-08-14 → 2003-04-16
  Ubs Financial Services Inc.
  Louisville, KY

Other Businesses

NIOTAZE LLC 100% OWNER (holding company for most of the entities listed below); START 10/31/2016; 4 hrs/month ; 4 hrs during trading; DUTIES: Holding company and funding other activities listed below. SPRING STREET SOLUTIONS: Title: 30% Owner; Investment Related; Address: 101 W Spring Street, 5thFloor, New Albay, IN 47150; Nature of Business- Insurance and Executive Compensation Structuring; Hours Per Month: 8-10; Hours per month during security tradinghours: 6-8; Start Date 04/2020 NEXT CHAPTER INSTITUTE, LLC; not investment related; New Albany, IN; 100% OWNER; START DATE 12/14/2018; NUMBER OF HOURS PER MONTH 10; NUMBER OF HOURS DURING TRADING 6; Develops intellectual property, seeks speaking engagements, licensing opportunities and other opportunities for collaboration around helping individuals, teams, non-profit organizations, and companies to become more adaptive and resilient to change. NEXT CHAPTER MANAGEMENT, LLC AND NEXT CHAPTER CONSULTING, LLC.; not investment related; New Albany, IN;100% Owner; expand opportunities for Next Chapter and to provide consulting services; START: 5/2019; up to 10 HRS/MO; 10 during trading when applicable. SYNTRAXX, LLC 74% OWNER; not investment related; New Albany, IN, START12/17/12; 10-15 hours per months; 10 hours during trading. (holding company that owns 100% of SNOW & SCOTT ENTERPRISES LLC and DIGIJUMP SALES & MARKETING, LLC); not investment related; New Albany, IN; SNOW & SCOTT ENTERPRISES LLC COMPANY company develops and owns intellectual property for the athletic training and rehabilitation industry; START 06/01/2001; 10 hours per months; 4 hours during trading hours; duties include coordinating and reviewing research, discussing equipment designs with partners and talking to and obtaining feeback from prospective licensees, customers, and other companies in the industry. DIGIJUMP SALES & MARKETING LLC, not investment related, New Albany, IN, START 1/1/2002, 6 hours per month, 2 hours during trading, athletic training and rehabilitation device development and sales. FAMILY FIRM INSTITUTE GLOBAL EDUCATION NETWORK; not investment related; Boston, MA; Faculty Member; START 01/01/2020; 1 hour per month; seldom during trading; duties include teaching online courses to students in FFI's GEN programs. UNIVERSITY OF LOUISVILLE; not investment related; Louisville, KY; Certificate Director in Family Business Management & Advising; Started 05/15/2017; Number of hours/mo 20; during trading 5; teaching graduate students, recruiting faculty and overseeing the development of the Family Business Management & Advising graduate and other programs. COLLABORATION FOR FAMILY FLOURISHING, not investment related, Bloomfield, NJ, Communications Committee Member 10/1/2019, 1 hour per month, during trading; attending committee meetings. FAMILY CAPITAL 100, not investment related, MELBOURNE, AUSTRALIA, Global independent alliance of specialist family business advisors providing guidance to family offices, family enterprises and generational families of wealth. 03/01/2020. Up to 20 hours per month during trading. MORGAN AND SCOTT ENTERPRISES: TITLE: MEMBER; not investment related, New Albany, IN 47150; holds club membership; 0 hrs per month; START DATE = 10/31/20

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-11-15
• S63 Uniform Securities Agent State Law Examination
  1999-03-26

Other Names

• Vaughan Scott
• David Vaughan Scott
• Vaughan Scott Jr
• Vaughan Scott
• David Vaughan Scott