Scott Bailey Nelson | Financial Professional

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 Bailey Nelson, who also goes by Scott B Nelson, Scott Nelson, was a registered financial advisor .

Scott is a previously registered financial advisor and started their career in finance in 1986. Scott had worked at 17 firms and has passed the Series 63, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Scott B Nelson | Scott Nelson

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

June 15, 2011 - March 19, 2012

REDHAWK WEALTH ADVISORS, INC.

RIA

CRD#: 146616

LONE TREE, CO

Past

April 28, 2011 - August 13, 2012

VARIABLE INVESTMENT ASSOCIATES, INC.

BD

CRD#: 44412

TEA, SD

Past

April 5, 2010 - January 6, 2011

FORTA FINANCIAL GROUP, INC.

RIA

CRD#: 28784

GREENWOOD VILLAGE, CO

Past

April 5, 2010 - January 6, 2011

FORTA FINANCIAL GROUP, INC.

BD

CRD#: 28784

GREENWOOD VILLAGE, CO

Past

April 1, 2009 - April 5, 2010

SUNSET FINANCIAL SERVICES, INC.

RIA

CRD#: 3538

LITTLETON, CO

Past

February 11, 2009 - April 5, 2010

SUNSET FINANCIAL SERVICES, INC.

BD

CRD#: 3538

LITTLETON, CO

Past

September 8, 2008 - January 30, 2009

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

LITTLETON, CO

Past

August 21, 2008 - January 30, 2009

FSC SECURITIES CORPORATION

BD

CRD#: 7461

LITTLETON, CO

Past

August 31, 2007 - August 26, 2008

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

GREENWOOD VILLAGE, CO

Past

July 16, 2007 - August 26, 2008

WOODBURY FINANCIAL SERVICES, INC.

BD

CRD#: 421

GREENWOOD VILLAGE, CO

Past

January 23, 2007 - July 13, 2007

SUNSET FINANCIAL SERVICES, INC.

BD

CRD#: 3538

LONE TREE, CO

Past

September 19, 2006 - December 31, 2006

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

DENVER, CO

Past

September 19, 2006 - December 31, 2006

MML INVESTORS SERVICES, LLC

BD

CRD#: 10409

DENVER, CO

Past

May 28, 2004 - September 5, 2006

SUNSET FINANCIAL SERVICES, INC.

BD

CRD#: 3538

LONE TREE, CO

Past

October 24, 2003 - May 5, 2004

WOODBURY FINANCIAL SERVICES, INC.

BD

CRD#: 421

OAKDALE, MN

Past

November 1, 2001 - August 9, 2002

MML INVESTORS SERVICES, LLC

BD

CRD#: 10409

SPRINGFIELD, MA

Past

April 9, 1999 - December 31, 2000

VSR FINANCIAL SERVICES, INC.

BD

CRD#: 14503

OVERLAND PARK, KS

Past

December 16, 1995 - April 28, 1999

INVESTORS CAPITAL CORP.

BD

CRD#: 30613

LYNNFIELD, MA

Past

June 14, 1995 - June 27, 1995

CETERA ADVISORS LLC

BD

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

February 9, 1995 - October 31, 1995

FIRST ASSOCIATED SECURITIES GROUP, INC.

BD

CRD#: 20597

CHICO, CA

Past

May 23, 1994 - February 13, 1995

CONSOLIDATED INVESTMENT SERVICES, INC.

BD

CRD#: 7929

LITTLETON, CO

Past

March 12, 1993 - May 13, 1994

SENTRA SECURITIES CORPORATION

BD

CRD#: 10249

PHOENIX, AZ

Past

October 13, 1992 - February 22, 1993

PFS INVESTMENTS INC.

BD

CRD#: 10111

DULUTH, GA

Past

May 14, 1990 - December 21, 1991

CUNA BROKERAGE SERVICES, INC.

BD

CRD#: 13941

WAVERLY, IA

Past

March 2, 1988 - April 12, 1990

G. R. PHELPS & CO., INC.

BD

CRD#: 173

Past

June 30, 1986 - November 7, 1986

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD

CRD#: 145

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".

RW

REDHAWK WEALTH ADVISORS, INC.

CRD#: 146616 / SEC#: 801-68902

RIA

Registered Investment Advisory firm - (3/6/2008 Approved)

Rhode Island

Registered Investment Advisory firm - (2/10/2016 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

RR

Series 63

Date: 9/11/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 22

Date: 8/19/1986

Direct Participation Programs Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 6/27/1986

Investment Company Products/Variable Contracts Representative Examination

Current Firm

RW

REDHAWK WEALTH ADVISORS, INC.

CRD#: 146616 / SEC#: 801-68902

RIA

Registered Investment Advisory firm - (3/6/2008 Approved)

Rhode Island

Registered Investment Advisory firm - (2/10/2016 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).

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Contact information

Main Address

8500 Normandale Lake Blvd Suite 960, Bloomington, MN 55437

Mailing Address

Phone number

(952) 835-4295

Established

Firm type

Fiscal year end

# of Employees

55

SEC notice filing (46 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2A BROCHURE (2/27/2025)

Regulatory assets under management

Total Number of Accounts	3,283
AUM (Assets Under Management)	$ 1,837,536,390

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 B. Nelson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VARIABLE INVESTMENT ASSOCIATES, INC.

FORTA FINANCIAL GROUP, INC.

FORTA FINANCIAL GROUP, INC.

SUNSET FINANCIAL SERVICES, INC.

SUNSET FINANCIAL SERVICES, INC.

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

SUNSET FINANCIAL SERVICES, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

SUNSET FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

MML INVESTORS SERVICES, LLC

VSR FINANCIAL SERVICES, INC.

INVESTORS CAPITAL CORP.

CETERA ADVISORS LLC

FIRST ASSOCIATED SECURITIES GROUP, INC.

CONSOLIDATED INVESTMENT SERVICES, INC.

SENTRA SECURITIES CORPORATION

PFS INVESTMENTS INC.

CUNA BROKERAGE SERVICES, INC.

G. R. PHELPS & CO., INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

REDHAWK WEALTH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/11/1986

Series 22

Date: 8/19/1986

Series 6

Date: 6/27/1986

Current Firm

REDHAWK WEALTH ADVISORS, INC.

Contact information

SEC notice filing (46 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

REDHAWK WEALTH ADVISORS, INC.

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