0001610215-14-000004.txt : 20140922 0001610215-14-000004.hdr.sgml : 20140922 20140922171343 ACCESSION NUMBER: 0001610215-14-000004 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20140731 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Dale Scott & Co., Inc. CENTRAL INDEX KEY: 0001610215 IRS NUMBER: 943033425 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA-I SEC ACT: 1934 Act SEC FILE NUMBER: 868-02877 FILM NUMBER: 141114572 BUSINESS ADDRESS: STREET 1: 650 CALIFORNIA ST. STREET 2: 8TH FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94108 BUSINESS PHONE: (415) 956-1030 MAIL ADDRESS: STREET 1: 650 CALIFORNIA ST. STREET 2: 8TH FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94108 MA-I 1 primary_doc.xml MA-I 0001610215 XXXXXXXX Peter Leroe-Munoz 4159561030 pleroemunoz@dalescott.com mekissell@dalescott.com N Mark NMN Farrell N 1 0001610215 Dale Scott & Co., Inc. 03-25-2013 N 07-17-2014 0001610215 LOCATED SUPERVISED 03-25-2013 650 CALIFORNIA ST. 8TH FLOOR SAN FRANCISCO CA 94108 03-2013 Dale Scott & Co., Inc. San Francisco CA 94108 Y N Senior Financial Advisor 12-2002 03-2013 Piper Jaffray Los Angeles CA 90014 Y Y Managing Director N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N 07-31-2014 Peter Leroe-Munoz In-House Counsel