Scott L. Zodin

KEEL WEALTH MANAGEMENT

Austin, TX

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CRD#: 1790609

Professional summary

Scott Laurence Zodin, who also goes by Scott Zodin, is a registered financial advisor currently at KEEL WEALTH MANAGEMENT, LLC located in Austin, Texas.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Scott has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 3 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Scott Zodin

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.FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION; NAME OF OUTSIDE BUSINESS ORGANIZATION: JENNE' LLC; INVESTMENT RELATED: N; ADDRESS OF BUSINESS: 1768 YANCEY CIRCLE SOUTH, COLLIERVILLE, TENNESSEE 38017; NATURE OF BUSINESS: LLC; POSITION, TITLE, ASSOCIATION: FAMILY HELD LLC; START DATE OF RELATIONSHIP: 1/1/2013; NUMBER OF HOURS DEVOTED: 20 HOUR(S) ANNUALLY; NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0; DUTIES: MANAGE A COMMERCIAL.Property 2. the name of the other business: Texas Crop Science, LLC; whether the business is investment-related: No; the address of the other business: 2021 Guadalupe, # 260, Austin, Texas; the nature of the other business: agricultural technology company; your position, title, or relationship with the other business: Board Member, Co-Founder; the start date of your relationship: Sept. 2013; the approximate number of hours/month you devote to the other business: 5; the number of hours you devote to the other business during securities trading hours: 20/year; and briefly describe your duties relating to the other business: Traditional board responsibilities; Oversight of management, expenses, and high level business activities.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Laurence Zodin'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

November 23, 2016 - Present

KEEL WEALTH MANAGEMENT, LLC

RIA

CRD#: 285682

Austin, TX

Past

January 20, 2011 - November 28, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

AUSTIN, TX

Past

January 20, 2011 - November 28, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

AUSTIN, TX

Past

June 1, 2009 - February 17, 2011

MORGAN STANLEY

RIA

CRD#: 149777

AUSTIN, TX

Past

June 1, 2009 - February 17, 2011

MORGAN STANLEY

CRD#: 149777

AUSTIN, TX

Past

February 21, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

AUSTIN, TX

Past

February 21, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

AUSTIN, TX

Past

April 13, 2001 - February 21, 2006

LEGG MASON WOOD WALKER, INCORPORATED

RIA

CRD#: 6555

AUSTIN, TX

Past

April 9, 2001 - February 21, 2006

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

AUSTIN, TX

Past

April 17, 1995 - April 3, 2001

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Past

March 31, 1994 - April 25, 1995

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

May 31, 1989 - April 11, 1994

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

May 22, 1989 - June 7, 1989

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Past

March 23, 1988 - May 22, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

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".

KEEL WEALTH MANAGEMENT, LLC

CRD#: 285682 / SEC#: 801-108599

RIA

Registered Investment Advisory firm - (11/4/2016 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

Texas
(11/23/2016)

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: 1/8/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/19/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/28/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 3/8/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/19/1988

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 2/25/1988

National Commodity Futures Examination

Principal/Supervisory Exam

Series 8

Date: 12/9/1994

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

KEEL WEALTH MANAGEMENT, LLC

CRD#: 285682 / SEC#: 801-108599

RIA

Registered Investment Advisory firm - (11/4/2016 Approved)

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Contact information

Main Address

Austin, TX

Mailing Address

Phone number

(512) 368-4666

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (2/12/2025)

Regulatory assets under management

Total Number of Accounts	105
AUM (Assets Under Management)	$ 557,100,000

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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Firm Stability Insights

Scott L. Zodin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Laurence Zodin's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

LEGG MASON WOOD WALKER, INCORPORATED

LEGG MASON WOOD WALKER, INCORPORATED

MORGAN KEEGAN & COMPANY, LLC

UBS FINANCIAL SERVICES INC.

CIBC WORLD MARKETS CORP.

CITIGROUP GLOBAL MARKETS INC.

DREXEL BURNHAM LAMBERT INCORPORATED

Primary Firm SEC Registration

KEEL WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/8/1996

Series 63

Date: 1/19/1988

SIE

Date: 11/28/2016

Series 31

Date: 3/8/2005

Series 7

Date: 3/19/1988

Series 3

Date: 2/25/1988

Series 8

Date: 12/9/1994

Current Firm

KEEL WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KEEL WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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