0001610215-20-000001.txt : 20200423
0001610215-20-000001.hdr.sgml : 20200423
20200423102118
ACCESSION NUMBER: 0001610215-20-000001
CONFORMED SUBMISSION TYPE: MA-A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20191231
FILED AS OF DATE: 20200327
DATE AS OF CHANGE: 20200423
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-A
SEC ACT: 1934 Act
SEC FILE NUMBER: 867-00537
FILM NUMBER: 20809674
BUSINESS ADDRESS:
STREET 1: 650 CALIFORNIA ST.
STREET 2: SUITE 2050
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94108
BUSINESS PHONE: (415) 956-1030
MAIL ADDRESS:
STREET 1: 650 CALIFORNIA ST.
STREET 2: SUITE 2050
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94108
MA-A
1
primary_doc.xml
MA-A
0001610215
XXXXXXXX
Nicole Roberts
4159561030
nroberts@dalescott.com
mekissell@dalescott.com
nroberts@dalescott.com
dave.sanchez@nortonrosefulbright.com
12-31-2019
Y
Dale Scott & Co., Inc.
94-3033425
866-00236-00
867-00537
Municipal Securities Rulemaking Board
K0586
650 California St.
Suite 2050
San Francisco
CA
94108
4159561030
4159561322
Add
1600 Rosecrans Ave.
Media Center, 4th Floor
Manhattan Beach
CA
90266
3103217872
N
www.dalescott.com
MARY ELLEN
SCHMIDT
KISSELL
Controller
650 California St.
Suite 2050
San Francisco
CA
94108
4159561030
4159561322
mekissell@dalescott.com
NICOLE
TOMAS
ROBERTS
CONTACT PERSON
650 California St.
Suite 2050
San Francisco
CA
94108
4159561030
4159561322
nroberts@dalescott.com
December
CA
03-06-1987
N
8
6
0
0
0
35
Municipal Entities
0
0
0
Not Applicable
Fixed Fees
Contingent Fees
Not Applicable
Advice Insurance Of MS
Advice ME Investments
Advice On Selection
Other
From time to time, Dale Scott & Co., Inc. provides dissemination agent services, SB 1029 filing services, and pre-election advisory services for voter-approved debt.
N
0
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
Y
N
Y
Y
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
Y
N
Dale
Allen
Scott
CEO, CFO, Secretary
03-06-1987
E
Y
000000000
Mary Ellen
Schmidt
Kissell
Controller, Chief Compliance Officer
04-14-2008
NA
N
000000000
Dale
Allen
Scott
CEO, CFO, Secretary
03-06-1987
E
Y
000000000
Mary Ellen
Schmidt
Kissell
Controller, Chief Compliance Officer
04-14-2008
NA
N
000000000
9-C2
9-C4
9-C5
Securities and Exchange Commission Administrative Proceeding
File No. 3-19253
100 F Street
Washington
DC
20549
N/A
07-16-2019
Cease and Desist
CivilAdminPenaltyFine
No Product
Secondary liability for failure by outside consultants to DS&C to register as municipal advisors.
07-16-2019
Order
Settled
DS&C agreed to settle with the SEC and consented to the SEC's entry of an order.
N
Y
Cease and Desist
CivilAdminPenaltyFine
25000.00
25000.00
07-25-2019
25000.00
Nicole T Roberts
Nicole T. Roberts
Analyst
03-27-2020
N
N
N
N
N
Y
Y
Y
N
N
N
N
N
N
N
N
N
N
N
N
N