Stephen C. Scott

SCOTT INVESTMENT ADVISORS, L.P.

Jackson, WY 83001

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CRD#: 1024249

Professional summary

Stephen Cooper Scott is a registered financial advisor currently at SCOTT INVESTMENT ADVISORS, L.P. located in Jackson, Wyoming.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Stephen has worked at 7 firms and has passed the Series 65, Series 63, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

ScottAdvisors.com, Inc Investment related 357 E Kelly Ave, Jackson, WY 83001 Parent Company of Investment Advisor and marketing related President Owns 91% of Scott Investment Advisors, L.P. 7/15/1997 1 hour a month 0 hours during market hours Balancing accounts

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Cooper Scott's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 7, 2022 - Present

SCOTT INVESTMENT ADVISORS, L.P.

Office #1: 357 E Kelly Ave, Jackson, WY 83001

RIA

CRD#: 110466

Jackson, WY

Past

July 15, 1999 - February 3, 2000

PRINCIPAL FUNDS DISTRIBUTOR, INC.

CRD#: 43261

DES MOINES, IA

Past

December 2, 1992 - July 21, 1999

WM FUND SERVICES, INC.

CRD#: 30763

SEATTLE, WA

Past

August 26, 1988 - March 4, 1996

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

CRD#: 14229

NORTHRIDGE, CA

Past

September 17, 1982 - January 4, 1984

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

Past

February 2, 1982 - September 1, 1988

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

Past

February 2, 1982 - September 1, 1988

EQUITABLE ADVISORS, LLC

CRD#: 6627

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Wyoming
(9/7/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/17/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/26/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 1/25/1982

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/28/1988

General Securities Principal Examination

Current Firm

SCOTT INVESTMENT ADVISORS, L.P.

SCOTT INVESTMENT ADVISORS LIMITED PARTNERSHIP | SCOTTADVISORS.COM | SCOTT INVESTMENT ADVISORS, L.P.

CRD#: 110466 / SEC#: 801-57677

RIA

Registered Investment Advisory firm - (12/12/2018 Terminated)

Wyoming

Registered Investment Advisory firm - (12/20/2017 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

349 East Kelly Avenue, Jackson, WY 83001

Mailing Address

Phone number

(562) 900-7261

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	14
AUM (Assets Under Management)	$ 5,000,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Stephen C. Scott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Cooper Scott's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRINCIPAL FUNDS DISTRIBUTOR, INC.

WM FUND SERVICES, INC.

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/17/1995

Series 63

Date: 4/26/1988

Series 6

Date: 1/25/1982

Series 24

Date: 4/28/1988

Current Firm

SCOTT INVESTMENT ADVISORS, L.P.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SCOTT INVESTMENT ADVISORS, L.P.

TRUST BUT VERIFY

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