Scott W. Clampitt

SCOTT CLAMPITT, REGISTERED INVESTMENT ADVISOR

New Castle, IN

Some features on this profile are disabled

CRD#: 1278576

Professional summary

Scott Wayne Clampitt is a registered financial advisor currently at SCOTT CLAMPITT, REGISTERED INVESTMENT ADVISOR located in New Castle, Indiana.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Scott has worked at 12 firms and has passed the Series 65, Series 63, Series 62, Series 6 and Series 26 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Wayne Clampitt'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

February 24, 2020 - Present

SCOTT CLAMPITT, REGISTERED INVESTMENT ADVISOR

RIA

CRD#: 154214

New Castle, IN

Past

February 2, 2015 - December 31, 2019

SCOTT CLAMPITT, REGISTERED INVESTMENT ADVISOR

RIA

CRD#: 154214

NEW CASTLE, IN

Past

June 6, 2012 - December 31, 2014

SCOTT CLAMPITT, REGISTERED INVESTMENT ADVISOR

RIA

CRD#: 154214

BLOOMINGTON, IN

Past

May 5, 2009 - May 2, 2012

HIGHLAND FINANCIAL MANAGEMENT, INC

RIA

CRD#: 141428

LOUISVILLE, KY

Past

March 26, 2009 - July 25, 2012

AMERICAN EQUITY INVESTMENT CORPORATION

CRD#: 40199

LOUISVILLE, KY

Past

October 5, 2005 - March 16, 2009

SPC

RIA

CRD#: 110692

NEW ALBANY, IN

Past

March 21, 2005 - February 24, 2006

CFCI

RIA

CRD#: 128257

BLOOMINGTON, IN

Past

April 28, 2004 - December 31, 2004

SPC

RIA

CRD#: 110692

BLOOMINGTON, IN

Past

July 21, 2003 - March 16, 2009

PARKLAND SECURITIES, LLC

CRD#: 115368

NEW ALBANY, IN

Past

March 20, 1998 - July 22, 2003

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

January 13, 1998 - March 16, 1998

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

July 3, 1997 - December 31, 1997

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

December 17, 1993 - July 20, 1995

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

April 24, 1990 - January 13, 1992

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

June 15, 1984 - November 8, 1989

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

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

Indiana
(2/24/2020)

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: 4/26/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/19/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 62

Date: 7/21/2004

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 6

Date: 6/14/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 4/23/1985

Investment Company Products/Variable Contracts Principal Examination

Current Firm

SCOTT CLAMPITT, REGISTERED INVESTMENT ADVISOR

SCOTT CLAMPITT, REGISTERED INVESTMENT ADVISOR | SCOTT WAYNE CLAMPITT

CRD#: 154214 / SEC#:

Indiana

Registered Investment Advisory firm - (2/24/2020 Approved)

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

New Castle, IN

Mailing Address

Phone number

(812) 219-3873

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 224,411

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 W. Clampitt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Wayne Clampitt's CRS (Customer Relationship Summary).

Certified licenses

Experience

SCOTT CLAMPITT, REGISTERED INVESTMENT ADVISOR

SCOTT CLAMPITT, REGISTERED INVESTMENT ADVISOR

HIGHLAND FINANCIAL MANAGEMENT, INC

AMERICAN EQUITY INVESTMENT CORPORATION

SPC

CFCI

SPC

PARKLAND SECURITIES, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

THE LEADERS GROUP, INC.

SUNAMERICA SECURITIES, INC.

CETERA WEALTH SERVICES, LLC

MML INVESTORS SERVICES, LLC

FORESTERS FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/26/2004

Series 63

Date: 6/19/1984

Series 62

Date: 7/21/2004

Series 6

Date: 6/14/1984

Series 26

Date: 4/23/1985

Current Firm

SCOTT CLAMPITT, REGISTERED INVESTMENT ADVISOR

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SCOTT CLAMPITT, REGISTERED INVESTMENT ADVISOR

TRUST BUT VERIFY

Similar Advisors