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Raymond L Scott

CRD# 1705504·Registered 1987 - 2022
Previously Registered: Being a previously registered professional could mean that Raymond 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.

Professional Summary

Raymond L Scott, who also goes by Ray Scott, Raymond Lewis Scott, was a registered financial advisor. Raymond was a previously registered financial professional and started their career in finance 1987 - 2022. Raymond had worked at 6 firms and has passed the Series 63, SIE, Series 6 and Series 22 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Ray Scott, Raymond Lewis Scott

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

39 years in the financial services industry

Current & Past Employments

AVANTAX ADVISORY SERVICES·CRD# 104556
RIA
South Orange, NJ
July 15, 2019 - December 2, 2022
AVANTAX INVESTMENT SERVICES, INC.·CRD# 13686
BD
South Orange, NJ
August 7, 2017 - December 2, 2022
CETERA INVESTMENT ADVISERS LLC·CRD# 105644
RIA
East Orange, NJ
October 24, 2005 - November 13, 2015
CETERA FINANCIAL SPECIALISTS LLC·CRD# 10358
BD
East Orange, NJ
October 24, 2005 - November 13, 2015
C.J.M. ASSET MANAGEMENT, LLC·CRD# 111302
RIA
Pompton Lakes, NJ
July 13, 2005 - October 24, 2005
C. J. M. PLANNING CORP.·CRD# 5698
BD
Pompton Lakes, NJ
July 13, 2005 - October 24, 2005
AVANTAX ADVISORY SERVICES·CRD# 104556
RIA
East Orange, NJ
July 2, 2002 - August 24, 2005
AVANTAX INVESTMENT SERVICES, INC.·CRD# 13686
BD
Dallas, TX
August 12, 1987 - August 10, 2005

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Current Firm

AA
AVANTAX ADVISORY SERVICES

1ST GLOBAL ADVISORY SERVICES | HD VEST ADVISORY SERVICES | H.D. VEST ADVISORY SERVICES, INC | AVANTAX WEALTH MANAGEMENT | AVANTAX ADVISORY SERVICES, INC. | AVANTAX ADVISORY SERVICES

CRD#: 104556 / SEC#: 801-29892

Contact Information

Main Address

3200 Olympus Blvd Suite 100, Dallas, TX 75019

Phone Number

(972) 870-6000

# of Employees

2,278

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV 2A FIRM BROCHURE (3/31/2025)

Regulatory Assets Under Management

Total Number of Accounts

140,306

AUM (Assets Under Management)

$46,109,939,749

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
12/13/2024Cover PageReport
11/28/2023Cover PageReport

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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) East Orange Rotary (5520)P O Box 5173 EAST ORANGE NJ 07019 Other 1/1/2009 2hrs~0hrs Board meetings, Activities of the Rotary as called upon by the Rotary International and local objectives. 2) East Orange Education Association, Inc 99 Washington Street EAST ORANGE NJ 07017 Board Position/Officer Other 1/1/2010 3hrs~0hrs Building community interest in schools and assist the leadrship within the system of education to provide expanded educational options for students by supplementing the school budget. 3) East Orange Community Charter School, Inc 99 Washington Street EAST ORANGE NJ 07017 Other~2/1/2006 80hrs~8hrs Chartered State of New Jersey Public School 4) St Matthew AME Church 336 Oakwood Avenue Orange NJ 07050 Other 1/1/1986 5hrs~0hrs Church Member, Church Trustee, Choir Member I am a member and elected /appointed member of the trustee board which deals with the physical facilities, choir member also. 5) BY THE NUMBERS, LLC 25 South Stanley Road~South Orange NJ 07079 Other Owner 5/1/2013~15hrs~10hrs General Contractor on all home improvement services. 6) Historical Society of Easst Orange, Inc. P o Box 1024 EAST ORANGE NJ 07019 Other~1/1/2010 2hrs~0hrs Member , Treasurer

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1993About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Aug 1987About the Series 6 exam

Series 22 — Direct Participation Programs Representative Examination

Passed Aug 1987About the Series 22 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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