Scott M. Stratton

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CRD#: 1459980

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 Michael Stratton, who also goes by Scott Michael Zgoda, was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 1986. Scott had worked at 8 firms and has passed the Series 65, Series 63, Series 6, Series 2 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Scott Michael Zgoda

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)

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®

None

Experience

Past

November 13, 2023 - June 3, 2025

PARALLEL ADVISORS, LLC

RIA

CRD#: 140800

SAN FRANCISCO, CA

Past

February 8, 2022 - May 19, 2022

CAMARDA WEALTH ADVISORY GROUP

RIA

CRD#: 113784

FLEMING ISLAND, FL

Past

October 27, 2021 - December 31, 2021

SYNERGIE CAPITAL MANAGEMENT

RIA

CRD#: 316823

SAN DIEGO, CA

Past

May 22, 2006 - March 9, 2021

FISHER INVESTMENTS

RIA

CRD#: 107342

RANCHO SANTA FE, CA

Past

October 4, 2001 - March 19, 2002

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

December 19, 2000 - October 4, 2001

FIRST FUND DISTRIBUTORS, INC.

CRD#: 27038

PHOENIX, AZ

Past

September 11, 1997 - October 30, 1998

FIRST FUND DISTRIBUTORS, INC.

CRD#: 27038

PHOENIX, AZ

Past

July 8, 1997 - March 11, 2003

FISHER INVESTMENTS

RIA

CRD#: 107342

RANCHO SANTA FE, CA

Past

June 24, 1987 - November 15, 1989

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

March 6, 1986 - June 16, 1987

TOWER SQUARE SECURITIES, INC.

CRD#: 833

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".

PARALLEL ADVISORS, LLC

CRD#: 140800 / SEC#: 801-68107

RIA

Registered Investment Advisory firm - (6/26/2007 Approved)

California

Registered Investment Advisory firm - (7/12/2007 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 2/7/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/16/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 6/23/1997

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 2

Date: 7/17/1995

Non-Member General Securities Examination

General Industry/Product Exam

Series 7

Date: 11/15/1986

General Securities Representative Examination

Current Firm

PARALLEL ADVISORS, LLC

CRD#: 140800 / SEC#: 801-68107

RIA

Registered Investment Advisory firm - (6/26/2007 Approved)

California

Registered Investment Advisory firm - (7/12/2007 Terminated)

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Contact information

Main Address

150 Spear Street Suite 1600, San Francisco, CA 94105

Mailing Address

Phone number

(866) 627-6984

Established

Firm type

Fiscal year end

# of Employees

126

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	14,928
AUM (Assets Under Management)	$ 8,735,387,332

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.

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Advisor Monitoring

Firm Stability Insights

Scott M. Stratton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAMARDA WEALTH ADVISORY GROUP

SYNERGIE CAPITAL MANAGEMENT

FISHER INVESTMENTS

QUASAR DISTRIBUTORS, LLC

FIRST FUND DISTRIBUTORS, INC.

FIRST FUND DISTRIBUTORS, INC.

FISHER INVESTMENTS

UBS FINANCIAL SERVICES INC.

TOWER SQUARE SECURITIES, INC.

Primary Firm SEC Registration

PARALLEL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/7/2022

Series 63

Date: 6/16/1997

Series 6

Date: 6/23/1997

Series 2

Date: 7/17/1995

Series 7

Date: 11/15/1986

Current Firm

PARALLEL ADVISORS, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PARALLEL ADVISORS, LLC

TRUST BUT VERIFY

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