0001610215-21-000003.txt : 20210402 0001610215-21-000003.hdr.sgml : 20210402 20210402155014 ACCESSION NUMBER: 0001610215-21-000003 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 DUNN,ALEXANDER,ESTIOKO, FILED AS OF DATE: 20210402 DATE AS OF CHANGE: 20210402 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 868-02877 FILM NUMBER: 21801915 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-I/A 1 primary_doc.xml MA-I/A 0001610215 XXXXXXXX Nicole Roberts 4159561030 nroberts@dalescott.com nroberts@dalescott.com N Y ALEXANDER ESTIOKO DUNN N 1 0001610215 Dale Scott & Co., Inc. 08-24-2016 N 867-00537 LOCATED SUPERVISED 06-21-2017 650 CALIFORNIA ST. 8TH FLOOR SAN FRANCISCO CA 94108 ALEXANDER MASON DUNN 08-2016 DALE SCOTT & CO., INC. SAN FRANCISCO CA 94108 Y N ANALYST 11-2015 08-2016 SMARTBIZ, INC. SAN FRANCISCO CA 94115 N N RELATIONSHIP MANAGER 02-2012 10-2015 FISHER INVESTMENTS SAN MATEO CA 94404 N Y INVESTMENT ADVISOR 08-2010 06-2013 SAN FRANCISCO STATE UNIVERSITY SAN FRANCISCO CA 94132 N N STUDENT 08-2006 08-2010 UNITED STATES MARINE CORPS SAN DIEGO CA 92145 N N MILITARY SERVICE - SERGEANT 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 04-02-2021 Nicole T Roberts Compliance Contact