Scott G. Klatt
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 Gregory Klatt, CFP® was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1986. Scott had worked at 18 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1994
Experience
August 27, 2020 - October 3, 2024
RISE ADVISORS, LLC
January 6, 2017 - October 15, 2020
NORTHLANDING FINANCIAL PARTNERS, LLC
November 17, 2016 - December 31, 2016
NORTHLANDING FINANCIAL PARTNERS, LLC
September 6, 2016 - March 23, 2022
MUTUAL SECURITIES, INC.
August 1, 2011 - September 2, 2016
WALL STREET FINANCIAL GROUP, INC.
August 1, 2011 - September 2, 2016
WALL STREET FINANCIAL GROUP, INC.
February 23, 2005 - August 1, 2011
ENSEMBLE FINANCIAL SERVICES, INC.
February 10, 2005 - August 1, 2011
ENSEMBLE FINANCIAL SERVICES, INC.
January 16, 2004 - November 19, 2004
SAGE, RUTTY & CO., INC.
February 28, 2002 - January 28, 2004
LPL FINANCIAL LLC
October 28, 1998 - March 1, 2002
CADARET, GRANT & CO., INC.
March 31, 1998 - October 28, 1998
OSAIC WEALTH, INC.
April 25, 1994 - March 31, 1998
FIRST MONTAUK SECURITIES CORP.
June 30, 1993 - April 18, 1994
FINANCIAL HORIZONS SECURITIES CORPORATION
December 24, 1992 - April 5, 1994
CITICORP INVESTMENT SERVICES
September 22, 1989 - January 6, 1993
LINCOLN FINANCIAL DISTRIBUTORS, INC.
June 13, 1989 - September 29, 1989
INTEGRATED RESOURCES INVESTMENT CENTERS, INC.
January 15, 1988 - June 5, 1989
EMPIRE NATIONAL SECURITIES, INCORPORATED
July 2, 1987 - December 12, 1987
PAMCO SECURITIES AND INSURANCE SERVICES
February 2, 1987 - May 28, 1987
SHERWOOD CAPITAL, INC.
September 26, 1986 - January 31, 1987
FIRST JERSEY SECURITIES, INC.
Primary Firm SEC Registration
RISE ADVISORS, LLC
CRD#: 309760 / SEC#: 801-119066
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RISE ADVISORS, LLC
CRD#: 309760 / SEC#: 801-119066
Contact information
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,169 |
| AUM (Assets Under Management) | $ 340,850,820 |
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.
