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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

Michael Scott

Advisor at TD PRIVATE CLIENT WEALTH LLC

Asheville, NC | Greenville, SC

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Search this name across graphsid dfx:ria:1ae02bd7-b638-4a96-47be-46c0c39ec9cc

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Aug 26, 2019 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: TD PRIVATE CLIENT WEALTH LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 23, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 3
Exams: S63|S66
First exam: Aug 23, 2007
First registration: Aug 26, 2019
Dual registered: yes, broker-dealer
Other names: MICHAEL S SCOTT|Michael Steven Scott|Michael Scott
IAPD individual key: 5370297

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
TD PRIVATE CLIENT WEALTH LLC	Bd affiliated wealth	Aug 19, 2026	n/a	yes	Asheville, NC\|Greenville, SC	Current employment
ALLSTATE FINANCIAL ADVISORS, LLC	Bd affiliated wealth	Nov 12, 2024	Jun 30, 2026	no	Gorham, ME	Previous registration
TD PRIVATE CLIENT WEALTH LLC	Bd affiliated wealth	Jun 2, 2021	Nov 12, 2024	no	PORTLAND, ME\|Manchester, NH	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Apr 13, 2020	Mar 17, 2021	no	SOuth Portland, ME	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Apr 13, 2020	Jan 26, 2021	no	Portland, ME	Previous registration
EDWARD JONES	National bd RIA	Aug 26, 2019	Mar 6, 2020	no	ST LOUIS, MO\|Portland, ME\|PORTLAND, ME\|South Portland, ME	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ALLSTATE FINANCIAL ADVISORS, LLC	TD PRIVATE CLIENT WEALTH LLC	Jun 30, 2026	Aug 19, 2026	50	Firm change	Ibd to ibd
TD PRIVATE CLIENT WEALTH LLC	ALLSTATE FINANCIAL ADVISORS, LLC	Nov 12, 2024	Nov 12, 2024	0	Firm change	Ibd to ibd
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD PRIVATE CLIENT WEALTH LLC	Mar 17, 2021	Jun 2, 2021	77	Firm change	RIA to ibd
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Jan 26, 2021	Apr 13, 2020	-288	Channel change	Other
EDWARD JONES	TD AMERITRADE, INC.	Mar 6, 2020	Apr 13, 2020	38	Firm change	Other

Relationships

Registered with (5)

→ TD PRIVATE CLIENT WEALTH LLCRegistered adviserregistration: previous registration
Jun 2, 2021 to Nov 12, 2024factForm ADV
→ ALLSTATE FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Nov 12, 2024 to Jun 30, 2026factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Apr 13, 2020 to Mar 17, 2021factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Apr 13, 2020 to Jan 26, 2021factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Aug 26, 2019 to Mar 6, 2020factForm ADV

Dated events

Occurred
Jun 30, 2026
Advisor changed firm
Michael Scott left Allstate Financial Advisors, Llc for Td Private Client Wealth Llc (registered 2026-08-19)
Form ADVobserved 5 days ago
Occurred
Nov 12, 2024
Advisor changed firm
Michael Scott left Td Private Client Wealth Llc for Allstate Financial Advisors, Llc (registered 2024-11-12)
Form ADVobserved 5 days ago