Casey J. Scott

SCOTT CAPITAL ADVISORS

PORTLAND, OR 97205

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CRD#: 1782910

Professional summary

Casey James Scott is a registered financial advisor currently at SCOTT CAPITAL ADVISORS, LLC located in Portland, Oregon.

Casey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Casey has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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. GLISAN STREET PROPERTY LLC; INV RELATED; MANZANITA, OR; 33.33% OWNERSHIP, START 2000; MINIMAL TIME DEVOTED, RENTAL PROPERTIES; 2. SIDNEY FARMS, INV RELATED, JEFFERSON, OR, 7.15% OWNER, START: 9/2012, 0 HOURS, NO DUTIES. 3. WING SHOOTERS, INV RELATED, PORTLAND, OR, SECRETARY/TREASURER, START 10/14/2014, 1 HOUR PER MONTH, ZERO DURING TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Casey James Scott's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

July 31, 2020 - Present

SCOTT CAPITAL ADVISORS, LLC

Office #1: 707 Sw Washington Street Suite 810, Portland, OR 97205

RIA

CRD#: 307980

PORTLAND, OR

Past

July 1, 2003 - August 3, 2020

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

PORTLAND, OR

Past

July 1, 2003 - August 3, 2020

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

PORTLAND, OR

Past

June 10, 2003 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

PORTLAND, OR

Past

September 19, 1994 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

July 31, 1993 - September 28, 1994

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

February 15, 1988 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

December 22, 1987 - February 15, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

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".

SCOTT CAPITAL ADVISORS, LLC

CRD#: 307980 / SEC#: 801-119200

RIA

Registered Investment Advisory firm - (7/31/2020 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Oregon
(7/31/2020)

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

IAR

Series 65

Date: 6/17/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/21/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/21/1988

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/19/1987

General Securities Representative Examination

Current Firm

SCOTT CAPITAL ADVISORS, LLC

CRD#: 307980 / SEC#: 801-119200

RIA

Registered Investment Advisory firm - (7/31/2020 Approved)

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Contact information

Main Address

707 Sw Washington Street Suite 810, Portland, OR 97205

Mailing Address

Phone number

(503) 487-0860

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (1/31/2025)

Regulatory assets under management

Total Number of Accounts	802
AUM (Assets Under Management)	$ 968,385,354

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

Casey J. Scott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Casey James Scott's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

SCOTT CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/17/1992

Series 63

Date: 1/21/1988

SIE

Date: 10/1/2018

Series 3

Date: 1/21/1988

Series 7

Date: 12/19/1987

Current Firm

SCOTT CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SCOTT CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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