Scott A. Brown

UNDERDOG WEALTH MANAGEMENT

WAYZATA, MN 55391

Some features on this profile are disabled

CRD#: 1366741

Professional summary

Scott Andrew Brown is a registered financial advisor currently at UNDERDOG WEALTH MANAGEMENT, LLC located in Wayzata, Minnesota.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Scott has worked at 7 firms and has passed the Series 63 and Series 6 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.

INSURANCE SALES (FIXED. INVESTMENT RELATED. 3701 SHORELINE DRIVE WAYZATA, MN INSURANCE AGENT 30 HOURS PER MONTH/DURING TRADING HOURS 2) LAKE MINNETONKA FINANCIAL, INC, YES INVESTMENT RELATED, 3701 SHORELINE DR STE 106B WAYZATA MN 55391, FINANCIAL, OWNER, START DATE 5/1/2012, 120 HPM, 80 HRS TRADING, FINANCIAL.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Andrew Brown'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

December 5, 2014 - Present

UNDERDOG WEALTH MANAGEMENT, LLC

Office #1: 3701 Shoreline Drive Suite 106b, Wayzata, MN 55391

RIA

CRD#: 152998

WAYZATA, MN

Past

December 11, 2013 - May 1, 2017

CG ADVISORY SERVICES

RIA

CRD#: 110929

WAYZATA, MN

Past

November 19, 2009 - December 11, 2012

INVEST FINANCIAL CORPORATION

CRD#: 12984

WAYZATA, MN

Past

April 2, 1997 - November 19, 2009

CETERA WEALTH SERVICES, LLC

CRD#: 13572

MINNEAPOLIS, MN

Past

March 22, 1996 - April 10, 1997

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

March 22, 1996 - April 10, 1997

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

June 2, 1994 - March 7, 1996

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

June 26, 1992 - July 6, 1993

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

June 19, 1985 - May 19, 1992

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, 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

Minnesota
(12/5/2014)

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

Series 63

Date: 8/8/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 6/18/1985

Investment Company Products/Variable Contracts Representative Examination

Current Firm

UNDERDOG WEALTH MANAGEMENT, LLC

BRINDA, ANTHONY | UNDERDOG WEALTH MANAGEMENT, LLC

CRD#: 152998 / SEC#:

Minnesota

Registered Investment Advisory firm - (3/11/2010 Approved)

Texas

Registered Investment Advisory firm - (10/22/2015 Conditional Restricted)

Wisconsin

Registered Investment Advisory firm - (5/5/2020 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

13762 Reimer Drive N, Maple Grove, MN 55311

Mailing Address

Phone number

(763) 497-3000

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	841
AUM (Assets Under Management)	$ 96,585,231

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

Chad Rusten

ELEMENT SQUARED PRIVATE WEALTH

IAR

Minneapolis, MN

Ryan Golden

WELLS FARGO CLEARING SERVICES, LLC

IAR

Crystal, MN

Janai Deitt

THRIVENT INVESTMENT MANAGEMENT INC.

IAR

McKinney, TX

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Scott A. Brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Andrew Brown's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNDERDOG WEALTH MANAGEMENT, LLC

CG ADVISORY SERVICES

INVEST FINANCIAL CORPORATION

CETERA WEALTH SERVICES, LLC

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/8/1985

Series 6

Date: 6/18/1985

Current Firm

UNDERDOG WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

UNDERDOG WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors