Raymond L. Scott
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.
Raymond L Scott, who also goes by Ray Scott, Raymond Lewis Scott, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1987. Raymond had worked at 6 firms and has passed the Series 63, SIE, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2019 - December 2, 2022
AVANTAX ADVISORY SERVICES
August 7, 2017 - December 2, 2022
AVANTAX INVESTMENT SERVICES, INC.
October 24, 2005 - November 13, 2015
CETERA INVESTMENT ADVISERS LLC
October 24, 2005 - November 13, 2015
CETERA FINANCIAL SPECIALISTS LLC
July 13, 2005 - October 24, 2005
C.J.M. ASSET MANAGEMENT, LLC
July 13, 2005 - October 24, 2005
C. J. M. PLANNING CORP.
July 2, 2002 - August 24, 2005
AVANTAX ADVISORY SERVICES
August 12, 1987 - August 10, 2005
AVANTAX INVESTMENT SERVICES, INC.
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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
