Scott W. Rivard
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.
Scott Winston Rivard, who also goes by Scott Winston Rivard, Scott W Rivard, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1983. Scott had worked at 21 firms and has passed the Series 65, Series 63, Series 22TO, Series 7TO, Series 6TO, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2025 - April 1, 2026
ALLSTATE FINANCIAL ADVISORS, LLC
July 17, 2025 - April 1, 2026
ALLSTATE FINANCIAL SERVICES, LLC
February 21, 2025 - July 11, 2025
CHELSEA ADVISORY SERVICES, INC
September 4, 2024 - July 11, 2025
CHELSEA FINANCIAL SERVICES
May 3, 2024 - June 13, 2024
PRINCIPAL SECURITIES, INC.
January 26, 2024 - June 13, 2024
PRINCIPAL SECURITIES, INC.
May 24, 2023 - June 2, 2023
ALLSTATE FINANCIAL ADVISORS, LLC
May 24, 2023 - June 2, 2023
ALLSTATE FINANCIAL SERVICES, LLC
February 8, 2023 - May 10, 2023
WEALTHSPIRE RETIREMENT ADVISORY
May 13, 2021 - October 19, 2021
CBIZ INVESTMENT ADVISORY SERVICES, LLC
October 24, 2019 - May 4, 2021
LPL FINANCIAL LLC
October 17, 2019 - May 4, 2021
LPL FINANCIAL LLC
October 7, 2016 - October 16, 2019
INDEPENDENT FINANCIAL GROUP, LLC
November 13, 2015 - September 30, 2016
ADVISEME NATIONAL ADVISORS
August 24, 2015 - August 25, 2015
INDEPENDENT FINANCIAL GROUP, LLC
August 24, 2015 - October 16, 2019
INDEPENDENT FINANCIAL GROUP, LLC
January 2, 2014 - August 25, 2015
SECURITIES AMERICA ADVISORS, INC.
August 14, 2012 - December 31, 2013
SECURITIES AMERICA ADVISORS, INC.
August 14, 2012 - August 25, 2015
SECURITIES AMERICA, INC.
June 1, 2012 - August 15, 2012
FINANCIAL TELESIS INC
June 1, 2012 - August 15, 2012
FINANCIAL TELESIS INC
March 7, 2011 - June 4, 2012
SOUTHEAST INVESTMENTS, N.C., INC.
March 27, 2007 - June 4, 2012
SOUTHEAST INVESTMENTS, N.C., INC.
December 22, 1998 - March 30, 2007
PRINCIPAL SECURITIES, INC.
June 6, 1997 - December 18, 1998
CADARET, GRANT & CO., INC.
October 18, 1995 - June 9, 1997
NATHAN & LEWIS SECURITIES, INC.
February 16, 1994 - October 24, 1995
ESSEX CAPITAL MARKETS, INC.
September 1, 1992 - January 25, 1994
CADARET, GRANT & CO., INC.
March 27, 1989 - September 2, 1992
LESKO SECURITIES INC.
April 27, 1988 - March 29, 1989
IFMG SECURITIES, INC.
September 25, 1985 - May 17, 1988
MML INVESTORS SERVICES, LLC
October 6, 1983 - October 4, 1985
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 22TO
Date: 7/2/2022
Direct Participation Programs Representative ExaminationSeries 7TO
Date: 7/2/2022
General Securities Representative ExaminationSeries 6TO
Date: 7/2/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
Contact information
SEC notice filing (49 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 280 |
| AUM (Assets Under Management) | $ 82,015,793 |
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.
