Scott Anthony Martin
Professional Summary
Scott Anthony Martin was a registered financial advisor. Scott was a previously registered financial professional and started their career in finance 1988 - 2009. Scott had worked at 5 firms and has passed the Series 63, Series 99TO, Series 52TO, Series 79TO, SIE, Series 7, Series 52, Series 14, Series 24 and Series 53 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Contact Information
No current employment
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
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.
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Years of Experience
38 years registered in the securities industry
Current & Past Employments
Past
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Current Firm
NORWEST INVESTMENT SERVICES, INC. | WELLS FARGO BROKERAGE SERVICES, L.L.C.
Contact Information
Established
Delaware since 06/01/2000Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLS FARGO INVESTMENT GROUP, INC. | DIRECT OWNER | — |
| HOGG, ALAN THOMAS | DIRECTOR, EXECUTIVE VICE PRESIDENT | 3019085 |
| MATTHIES, SILAS LANGDON JR | DIRECTOR/EXECUTIVE VICE PRESIDENT/ASSISTANT SECRETARY | 1385815 |
| MCGRORY, MATTHEW W. | DIRECTOR | 4917590 |
| NIEDFELDT, JOAN CAROLE | CHIEF FINANCIAL OFFICER/VICE PRESIDENT | 724703 |
| SCHAEFER, MICHAEL ALLEN | DIRECTOR | 1599656 |
| SHREWSBERRY, JOHN RICHARD | DIRECTOR/CHIEF EXECUTIVE OFFICER/PRESIDENT | 2264673 |
| ZELLMER, JO ANN | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 2169167 |
Disclosures
Regulatory Event
11Arbitration
8Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSimilar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC