Scott C. Marsh

SCOTT MARSH FINANCIAL

SALT LAKE CITY, UT

Some features on this profile are disabled

CRD#: 1215597

Professional summary

Scott Clyde Marsh, who also goes by Scott C Marsh, is a registered financial advisor currently at SCOTT MARSH FINANCIAL, LLC located in Salt Lake City, Utah.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Scott has worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Scott C Marsh

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.

NAME OF BUSINESS: THE PROFESSIONAL EDUCATION INSTITUTE OR SCOTT MARSH EDUCATION INSTITUTE INVESTMENT RELATED: NO ADDRESS: 1313 EAST 4170 SOUTH, SALT LAKE CITY,UT 84124-1456 NAME OF OWNER:SCOTT C. MARSH SOLE PROPRIETORSHIP NATURE OF BUSINESS:EDUCATION,TAX PREPARATION AND PLANNING. POSITION AND TITLE: OWNER # OF HOURS YOU DEVOTE: 1 HOUR PER DAY DUTIES: CONSULTING

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Clyde Marsh's CRS (Customer Relationship Summary).

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

March 4, 2002 - Present

SCOTT MARSH FINANCIAL, LLC

RIA

CRD#: 122169

SALT LAKE CITY, UT

Past

April 1, 1995 - June 27, 2011

INTERMOUNTAIN FINANCIAL SERVICES, INC.

CRD#: 15386

SALT LAKE CITY, UT

Past

March 19, 1991 - April 1, 1995

RICHARDS INVESTMENTS

CRD#: 3176

SALT LAKE CITY, UT

Past

January 5, 1989 - March 4, 1991

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

February 24, 1987 - December 19, 1988

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

February 24, 1987 - December 19, 1988

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

November 23, 1983 - January 30, 1987

RICHARDS INVESTMENTS

CRD#: 3176

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SCOTT MARSH FINANCIAL, LLC

SCOTT C. MARSH | SCOTT MARSH FINANCIAL, LLC | SCOTT CLYDE MARSH | SCOTT C. MARSH FINANCIAL

CRD#: 122169 / SEC#: 801-112911

RIA

Registered Investment Advisory firm - (4/23/2018 Approved)

Utah

Registered Investment Advisory firm - (2/4/2025 Terminated)

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).

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

Utah
(3/4/2002)

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: 12/12/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/21/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/19/1983

General Securities Representative Examination

Current Firm

SCOTT MARSH FINANCIAL, LLC

SCOTT C. MARSH | SCOTT MARSH FINANCIAL, LLC | SCOTT CLYDE MARSH | SCOTT C. MARSH FINANCIAL

CRD#: 122169 / SEC#: 801-112911

RIA

Registered Investment Advisory firm - (4/23/2018 Approved)

Utah

Registered Investment Advisory firm - (2/4/2025 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Salt Lake City, UT

Mailing Address

Phone number

(801) 272-4677

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SCOTT MARSH FINANCIAL (2/11/2025)

Regulatory assets under management

Total Number of Accounts	752
AUM (Assets Under Management)	$ 230,019,255

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Scott C. Marsh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Clyde Marsh's CRS (Customer Relationship Summary).

Certified licenses

Experience

INTERMOUNTAIN FINANCIAL SERVICES, INC.

RICHARDS INVESTMENTS

NEW ENGLAND SECURITIES

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

RICHARDS INVESTMENTS

Primary Firm SEC Registration

SCOTT MARSH FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/12/1994

Series 63

Date: 12/21/1983

Series 7

Date: 11/19/1983

Current Firm

SCOTT MARSH FINANCIAL, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SCOTT MARSH FINANCIAL, LLC

TRUST BUT VERIFY

Similar Advisors