JS
John A. Scott, Iii
ARAX ADVISORY PARTNERS
Littleton, CO 80127
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CRD#: 1506647
JS
Professional summary
John Alexander Scott, Iii, who also goes by John Alexander Scott III, John Alexander Scott, is a registered financial advisor currently at ARAX ADVISORY PARTNERS located in Littleton, Colorado.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. John has worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Alexander Scott Iii | John Alexander Scott
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.
1. J ALEXANDER, 7871 DANTE DRIVE, LITTLETON, CO 80125; SOLE PROPRIETOR. FOR BUSINESS EXPENSES FOR PERSONAL TAX PURPOSES; START DATE 12/10/1998; APPROX. 2 HRS. PER MONTH; APPROX. $50,000 YEARLY COMPENSATION. 2. EDWARD H. ROSS ESTATE; EXECUTOR OF AN ESTATE OF A TRUST 3. FELLOWSHIP OF CHRISTIAN ATHLETES COLORADO SCHOOL OF MINES; BOARD MEMBER. ATTENDS MONTHLY BOARD MEETINGS AND ADVISES MINISTRTY. NOT FINANCIAL RELATED; START DATE 11/15/2005; APPROX. 10 HRS. PER MONTH; NO COMPENSATION. 4. ROSSFALLOON, 7871 DANTE DRIVE, LITTLETON, CO 80125; MANAGER OF MEN'S FLY FISHING CLUB. PAYS BILLS, COLLECT DUES FOR CLUB AND MANAGES PROPERTY; START DATE 03/25/2015; APPROX. 10 HRS. PER MONTH; NO COMPENSATION. 5. CERESCAN, 991 SOUTHPARK DRIVE, SUITE 200, LITTLETON, CO 80120; SHAREHOLDER OF PRIVATE STOCK OFFERING; START DATE 04/04/2016; NO HRS. PER MONTH; NO COMPENSATION. 6. SEI TRUST COMPANY; THIRD PARTY REFERRALS. PAYMENT IS MADE QUARTERLY AND DIRECLTY TO ME AS 1099 INCOME UNDER THE RIA LICENSE OF CEDRUS LLC 7. The Chateau Beaver Creek HOA; Not Investment Related; Colorado; HOA; Chairman of the HOA Finance Committee; Start Date 02/2024; Approx. 4-6 hours/month with 0 hours during securities trading hours; Oversee the comptroller and GMs accounting and audit practices.
CRS (Client Relationship Summary) - RIA
Click below to view John Alexander Scott, Iii'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®
NoneExperience
Current
December 8, 2024 - Present
ARAX ADVISORY PARTNERS
Office #1: 8241 S. Continental Divide Road, Littleton, CO 80127RIA
CRD#: 133535
Littleton, CO
Past
March 5, 2021 - March 26, 2025
CEDRUS
RIA
CRD#: 312878
LITTLETON, CO
Past
March 19, 2020 - January 29, 2021
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
LAKEWOOD, CO
Past
March 16, 2020 - January 29, 2021
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
LAKEWOOD, CO
Past
July 29, 2005 - April 21, 2006
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
GOLDEN, CO
Past
July 29, 2005 - April 21, 2006
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
GOLDEN, CO
Past
August 30, 1999 - August 1, 2005
J. SCOTT SECURITIES CORP.
BD
CRD#: 47007
GOLDEN, CO
Past
March 26, 1999 - December 31, 2005
CEDRUS
RIA
CRD#: 111842
GOLDEN, CO
Past
January 1, 1999 - March 29, 2019
CEDRUS
RIA
CRD#: 111842
LITTLETON, CO
Past
June 2, 1995 - May 6, 1999
KFS BD, INC.
BD
CRD#: 490
OMAHA, NE
Past
October 7, 1989 - June 16, 1995
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
May 21, 1986 - October 11, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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".
AA
ARAX ADVISORY PARTNERS
7258 WEALTH MANAGEMENT, INC. | YOUNG WEALTH MANAGEMENT GROUP, INC. | WELLTH PARTNER | THE DAVIS AGENCY, INC. | SUMMIT WEALTH STRATEGIES | SRS INVESTMENT SERVICES, LLC | SRS CAPITAL ADVISORS, LLC | SRS CAPITAL ADVISORS, INC. | SIMONDAVIS, INC. | SIMONDAVIS ASSET MANAGEMENT, INC. | SIMONDAVIS ASSET MANAGEMENT | SEAL FINANCIAL SERVICES | SCHECHTER INVESTMENT ADVISORS | NOVEN FINANCIAL GROUP | NORTE ADVISORS, LLC | KLEINHENZ & ASSOCIATES LTD. | GEORGINA ASSET MANAGEMENT, LLC | ENDURING WEALTH PARTNERS | CEDRUS LLC | AVERA CAPITAL WEALTH MANAGEMENT, LLC | ARAX ADVISORY PARTNERS, LLC | ARAX ADVISORY PARTNERS
CRD#: 133535 / SEC#: 801-67165
RIA
Registered Investment Advisory firm - (9/20/2006 Approved)California
Registered Investment Advisory firm - (10/18/2006 Terminated)Colorado
Registered Investment Advisory firm - (11/14/2006 Terminated)Georgia
Registered Investment Advisory firm - (5/24/2012 Terminated)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
Colorado(12/8/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/16/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
AA
ARAX ADVISORY PARTNERS
7258 WEALTH MANAGEMENT, INC. | YOUNG WEALTH MANAGEMENT GROUP, INC. | WELLTH PARTNER | THE DAVIS AGENCY, INC. | SUMMIT WEALTH STRATEGIES | SRS INVESTMENT SERVICES, LLC | SRS CAPITAL ADVISORS, LLC | SRS CAPITAL ADVISORS, INC. | SIMONDAVIS, INC. | SIMONDAVIS ASSET MANAGEMENT, INC. | SIMONDAVIS ASSET MANAGEMENT | SEAL FINANCIAL SERVICES | SCHECHTER INVESTMENT ADVISORS | NOVEN FINANCIAL GROUP | NORTE ADVISORS, LLC | KLEINHENZ & ASSOCIATES LTD. | GEORGINA ASSET MANAGEMENT, LLC | ENDURING WEALTH PARTNERS | CEDRUS LLC | AVERA CAPITAL WEALTH MANAGEMENT, LLC | ARAX ADVISORY PARTNERS, LLC | ARAX ADVISORY PARTNERS
CRD#: 133535 / SEC#: 801-67165
RIA
Registered Investment Advisory firm - (9/20/2006 Approved)California
Registered Investment Advisory firm - (10/18/2006 Terminated)Colorado
Registered Investment Advisory firm - (11/14/2006 Terminated)Georgia
Registered Investment Advisory firm - (5/24/2012 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
730 17th Street Suite 107, Denver, CO 80202
Mailing Address
Phone number
(303) 633-5900
Established
Firm type
Fiscal year end
# of Employees
106
SEC notice filing (34 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 16,559 |
| AUM (Assets Under Management) | $ 8,960,126,874 |
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.
