LS
Louis A. Scaife
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CRD#: 1179793
LS
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Louis Andrew Scaife, who also goes by Louis Andrew Scaife, Louis A Scaife, Louis Scaife, was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1983. Louis had worked at 15 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Louis Andrew Scaife | Louis A Scaife | Louis Scaife
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
May 11, 2022 - March 29, 2023
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
March 14, 2016 - October 1, 2020
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
SAINT PAUL, MN
Past
August 27, 2012 - September 18, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
April 2, 1997 - January 20, 1998
CITISTREET EQUITIES LLC
BD
CRD#: 7447
SOMERSET, NJ
Past
December 12, 1995 - November 22, 1996
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
ATLANTA, GA
Past
February 7, 1994 - December 31, 1994
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
Past
August 23, 1991 - July 29, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
August 23, 1991 - July 29, 1993
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
September 17, 1990 - June 18, 1991
CAL FED INVESTMENTS
BD
CRD#: 19631
SACRAMENTO, CA
Past
January 19, 1990 - October 22, 1990
CITISTREET EQUITIES LLC
BD
CRD#: 7447
SOMERSET, NJ
Past
December 20, 1988 - May 13, 1989
HEINER & STOCK, INC.
BD
CRD#: 13974
Past
November 28, 1988 - December 23, 1988
HAYNE, MILLER & SWEARINGEN, INC.
BD
CRD#: 14479
Past
December 19, 1986 - December 12, 1988
KIMBRIDGE & CO., INC.
BD
CRD#: 15631
Past
May 22, 1986 - December 19, 1986
ROBERT S. C. PETERSON, INC.
BD
CRD#: 6924
Past
June 18, 1985 - May 1, 1986
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Past
December 22, 1983 - June 18, 1985
MIDWEST DISCOUNT SECURITIES, INC.
BD
CRD#: 6226
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
FSC SECURITIES CORPORATION
3GENWEALTH | SPIEGEL FINANCIAL | SMITH MURRAY WEALTH | SITZLER FINANCIAL SERVICES | SHROM ASSOCIATES | SHEA & MCMURDIE RETIREMENT | SHARP FINANCIAL SERVICES | SHARP FINANCIAL | SHAFFER FINANCIAL SERVICES | SEASONS FINANCIAL ADVISORS | SCHMOLKE INVESTMENT TEAM | ROOTED FINANCIAL GROUP | ROCKPORT WEALTH MANAGEMENT | ROBSON PLANNING GROUP | RIVERLINK ADVISORS, LLC | RIVERBEND WEALTH MANAGEMENT | RIDGEGATE INVESTMENT MANAGEMENT | RICHARD HOE INVESTMENTS, LLC | RETIRESOURCE | RETIREMENT PLANNING & INVESTMENT SERVICES | R.J. WELSCH & ASSOCIATES, INC. | PROLIFIC WEALTH | PRICE FINANCIAL GROUP | PORTER KICKHAM, INC. | PIERCE & ASSOCIATES | PHRONETIC RETIREMENT ADVISORS | PENSURE GROUP | PATEL WEALTH STRATEGIES | PARK WEALTH ADVISORS | PAOLINI ADVISORS, LLC | OPTIMIZE CAPITAL MANAGEMENT | ONLY RETIRMENT | O'QUIN FIANNCIAL GROUP | O'BRIEN PLANNING STRATEGIES | NTUNE FINANCIAL GROUP | NORTHWEST GENERAL INSURANCE AND FINANCIAL SERVICES | NETTWORTH FINANCIAL GROUP | NETTUNO WEALTH MANAGEMENT | NETTUNO GROUP | MOUNTAIN CAPITAL | MOTTAU, ICENHOWER & ASSOCIATES | MOORESTREET FINANCIAL GROUP, LLC | MILLION WEALTH MANAGEMENT | MI401K RETIREMENT PLAN CONSULTANTS | MG RETIREMENT ADVISORS | MERRITT WEALTH STRATEGIES | MEFFORD WEALTH MANAGEMENT | MCKELL FINANCIAL GROUP | MAGNOLIA CAPITAL PARTNERS | MAGELLAN INVESTMENT ADVISORY SERVICES | LUMEN FINANCIAL GROUP | LUKE FORD FINANCIAL | LOVELL WEALTH MANAGEMENT | LONE STAR WEALTH MANAGEMENT | LILY WEALTH PARTNERS | LIANG CAPITAL ADVISORS | LESHNAK WEALTH | LENZE CAPITAL | LEGACY FINANCIAL SERVICES GROUP | KRAMER WEALTH MANAGERS | KNIGHTSBRIDGE FINANCIAL | KIDDER FINANCIAL GROUP | KEYSTONE FINANCIAL GROUP | KAVOCS FINANCIAL SOLUTIONS | KALYX CAPITAL MANAGEMENT | KALIS FINANCIAL | JIL FINANCIAL SERVICES, LLC | JAMES R. K. HARDY & ASSOCIATES | JAG FINANCIAL | IRVING FAMILY RETIREMENT PLANNING | INVESTMENT CAPITAL ADVISORS | INTEGRITY WEALTH ADVANTAGE | INDEPENDENT CAPITAL MANAGEMENT | IGRYPHON CAPITAL GROUP | HUSTAD WEALTH MANAGEMENT | HPK PROVIDENT ADVISORS | HOWARD WEALTH MANAGEMENT | HONOR CAPITAL | HOLMES MANAGEMENT LLC | HELMSMAN FINANCIAL PARTNERS | HARRIS & PRATT WELATH MANAGEMENT | HANZICH CONSULTING INC. | GRYPHON WEALTH MANAGEMENT | GRYPHON INSTITUTE | GREGORY A CROSBY, CFP | GREAT LAKES 401K | GOLDMAN HARRIS PRATT & ASSOCIATES WEALTH MANAGEMENT | GOLDMAN & ASSOCIATES WEALTH MANAGEMENT | GMBP WEALTH MANAGEMENT | GEM WEALTH PLANNING GROUP | FUNKHOUSER SHAFFER FINANCIAL SERVICES | FSC SECURITIES CORPORATION | FREEDOM ONE ADVISOR GROUP | FRAMEWORK FINANCIAL PLANNING | FINANCIAL SUCCESS STRATEGIES | FINANCIAL STRATEGIES GROUP | FINANCIAL SOLUTIONS GROUP | FINANCIAL INSIGHTS | FINANCIAL INDEPENDENCE LLC | FIDUCIARYADVISOR | FEDERAL EMPLOYEE BENEFITS | FAIRWINDS WEALTH MANAGEMENT | EFC WEALTH MANAGEMENT | EBERT ASSOCIATES | DLUZAK & ASSOCIATES, INC. | DIVERSIFIED FINANCIAL GROUP | DISEKER & COMPANY | DESTINY FINANCIAL GROUP | DELLINGER WEALTH MANAGEMENT | DECILIO FINANCIAL ADVISORS | DBW FINANCIAL SERVICES | CTM FINANCIAL GROUP, INC | CROSBY, TREVINO & ASSOCIATES, LLC | CRESTAR WEALTH MANAGEMENT | CREATIVE PENSION PLANS, INC. | CORNERSTONE WEALTH MANAGEMENT | COOLEY WEALTH MANAGEMENT | CONTINUUM FINANCIAL GROUP | CONSUS WEALTH MANAGEMENT, LLC | CONSCIOUS CAPITAL LLC | CONSCIOUS CAPITAL | COMPLO FINANCIAL SERVICES | CITADEL FINANCIAL & RETIREMENT SOLUTIONS. LLC | CITADEL FINANCIAL & RETIREMENT SOLUTIONS, LLC | CHERRINGTON BROTSKY CONSCIOUS CAPITAL | CHERRINGTON BROTSKY | CENTRUY FINANCIAL ADVISORS | CENTERPOINTE ADVISERS | CEBERT WEALTH MANAGEMENT | CARROLL ENTERPRISES LLC | CAROLINA WEALTH STEWARDSHIP GROUP | CAPITAL RESOURCE MANAGEMENT | CAPITAL ASSET MANAGEMENT | BROADVIEW FINANCIAL GROUP | BRENNAN & STUART, INC. | BRAD MILLS WEALTH MANAGEMENT | BOYD INVESTMENT SERVICES | BOUNDARY ROCK FINANCIAL GROUP | BLISS FINANCIAL SERVICES | BESSELMAN WEALTH PLANNERS | BEANE ATKINSON FINANCIAL SERVICES | BDL ADVISORS, LLC | BDL ADVISORS | BANYAN, ROCK, AND TALENT WEALTH STRATEGISTS | ATS | ARCH WEALTH MANAGEMENT | ARBEITER & BADIUK | ANDERSON WEALTH ADVISORS, LLC | ANDERSON WEALTH ADVISORS | AEGIS FINANCIAL GROUP, INC. | ADVANCED TRUSTEE STRATEGIES...
CRD#: 7461 / SEC#: 801-42017, 8-21770
BD
Terminated by SEC on 01/05/2024
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Contact information
Main Address
2300 Windy Ridge Pkwy Suite 750, Atlanta, GA 30339
Mailing Address
Phone number
+1 (800) 547-2382
Established
Delaware since 05/04/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
2,174
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINANCIAL SERVICE CORPORATION | SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| GERB, JASON | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HAMEL, CYNTHIA ANN | EVP, CHIEF OPERATIONS OFFICER | 3014361 |
| HAMMOND, DORI JAMILLE | VP, CHIEF COMPLIANCE OFFICER | 3259012 |
| NORTHRIP, IRYNA YAKOVLEVNA | SVP, CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISORY | 6466657 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EVP, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Regulatory assets under management
| Total Number of Accounts | 52,792 |
| AUM (Assets Under Management) | $ 11,745,651,239 |
Disclosures
| Regulatory Event | 31 |
| Arbitration | 16 |
| Bond | 8 |
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.
