Scott A. Elmquist
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 Anton Elmquist, ChFC®, CLU® 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 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2016 - December 31, 2023
INDEPENDENT INVESTMENT SERVICES, INC.
November 20, 1996 - November 18, 2015
SII INVESTMENTS, INC.
August 2, 1994 - November 18, 1996
THE INVESTMENT CENTER, INC.
July 14, 1993 - August 8, 1994
FINTEGRA, LLC
July 5, 1989 - June 17, 1993
SECURITIES AMERICA, INC.
June 24, 1988 - July 10, 1989
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
November 25, 1986 - May 19, 1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
November 25, 1986 - May 25, 1988
EQUITABLE ADVISORS, LLC
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
INDEPENDENT INVESTMENT SERVICES, INC.
CRD#: 282374 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 72 |
| AUM (Assets Under Management) | $ 3,514,264 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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