SL
Scott R. Lebin
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CRD#: 1800747
SL
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.
Scott Roger Lebin was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1993. Scott had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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. LEBIN MANAGEMENT, INC. IAR; Lebin Mgmt, Inc. DBA Lebin Financial Planning; RELATED: Yes; HRS: 120; SEC HRS: 120; 01/19/1985; 20 South 2nd St, Geneva IL 60134; Completing financial planning and investments with Woodbury Financial Services, Inc. as my broker-dealer. Providing all aspects of client servicing and prospecting for new clients. Preparing financial plans and retirement planning using eMoney software. 2. SUCCESSOR TRUSTEE AND MEDICAL POA FOR CLAYTON RAND Successor Trustee and Medical POA for my cousin, Clayton Rand. INV RELATED: No; HRS: 0; SEC HRS: 0; 02/17/2011; 20 South 2nd St, Geneva IL 60134; I am his closest living relative and will handle his estate as successor trustee should something happen to him. I also have his medical power of attorney. 3. UPPER IOWA UNIVERSITY BOARD OF TRUSTEES Chairman of the Board of Trustees; I was elected for 4 year term as Chairman of the Board of Trustees. I have been on the board of trustees since 2009 and served as Governance Committee Chair and Vice-Chairman of the Board of Trustees. I will begin the 4 year position as Chairman of the Board on July 1, 2021; INV RELATED: Yes; HRS: 20; SEC HRS: 8; 07/01/2021; 605 Washington St, Fayette IA 52142; Chair all Board of Trustees meetings and oversee the committee selections and be the liaison between the Pres of the Univ and the Board of Trustees. I will be a spokesman for the Board of Trustees at Graduation and at times when such a role is required. 4. GENEVA LIONS CLUB FOUNDATION Pres of the Lions Club; Nonprofit Lions Club International member local club Geneva Lions Club and its foundation Lions Club "We Serve" Foundation; INV RELATED: No; HRS: 10; SECS HRS: 3; 01/20/2021; P.O. Box 382, Geneva IL 60134; Oversee the Foundation Board who selects donors for the club funds. All money passes through the Community Foundation of the Fox River Valley and they file all forms with the IRS and are the organization that manages all Lions Foundation Funds through directions of the Lions Club Foundation Treasurer. 5. JMC FINANCIAL SOLUTIONS LLC Financial Advisor; NATURE: LLC; INV RELATED: Yes; HRS: 120; SEC HRS: 120; 10/01/2021; 20 South 2nd St, Geneva IL 60134; Servicing clients and reviewing financial plans and making recommendations to their plans. 6. MANAGED ECONOMICS FOR DOCTORS, INC. President; NATURE: This is the marketing company we use for our Dr. Clients. It is used for marketing to doctors; INV RELATED: Yes; HRS: 5; SEC HRS: 10; 01/01/1994; 20 South 2nd St, Geneva IL 60134; Discussing special issues doctors face in the work place and the stresses on working in the health care sector today. 7. LEBIN FINANCIAL PLANNING President Lebin Mgmt, Inc.; It is the DBA for Lebin Mgmt, Inc. All money of any kind flows into Lebin Mgmt, Inc. and consists of money received from Woodbury. There is no other revenue that is earned from any other source that goes into Lebin Mgmt, Inc; INV RELATED: Yes; HRS: 40; SEC HRS: 40; 01/01/1985; 20 South 2nd St, Geneva IL 60134; Providing advice to clients focused on accumulation of assets for retirement, retirement distribution, 529 planning, and protection planning including life insur, disability insurance, and LTC insurance. Investment planning using money managers is our basic way we invest client's assets.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
June 26, 2020 - October 4, 2022
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
GENEVA, IL
Past
June 26, 2020 - October 4, 2022
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
GENEVA, IL
Past
November 2, 2018 - June 29, 2020
OSAIC WEALTH, INC.
RIA
CRD#: 23131
GENEVA, IL
Past
November 2, 2018 - June 29, 2020
OSAIC WEALTH, INC.
BD
CRD#: 23131
GENEVA, IL
Past
May 13, 2016 - November 2, 2018
SIGNATOR INVESTORS, INC.
RIA
CRD#: 468
GENEVA, IL
Past
May 13, 2016 - November 2, 2018
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
GENEVA, IL
Past
October 1, 1997 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
GENEVA, IL
Past
April 14, 1997 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
GENEVA, IL
Past
February 23, 1995 - July 28, 1999
RUSHMORE SECURITIES CORPORATION
BD
CRD#: 8392
DALLAS, TX
Past
December 21, 1994 - January 25, 1995
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
SAN DIEGO, CA
Past
May 18, 1993 - August 29, 1995
FIRST AFFILIATED SECURITIES
BD
CRD#: 23737
LA JOLLA, CA
Past
May 11, 1993 - May 20, 1993
ARAGON FINANCIAL SERVICES, INC.
BD
CRD#: 16023
IRVINE, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
WOODBURY FINANCIAL SERVICES, INC.
0 | OPTIMIZE WEALTH STRATEGIES | ON TRACK FINANCIAL | OMADA FINANCIAL | OGLE WEALTH MANAGEMENT | OAK BROOK WEALTH MANAGEMENT | O'MALLEY WEALTH MANAGEMENT | NPB FINANCIAL | NORTHSTAR FINANCIAL SERVICES | NORTHPOINT FINANCIAL GROUP | NORTHEAST VALLEY FINANCIAL | NICOLAS JOHN FINANCIAL | NEXT PHASE FINANCIAL | NEW THOUGHT FINANCIAL GROUP | NCN FINANCIAL GROUP | NATIONAL WEALTH NETWORK | NATIONAL FINANCIAL ADVISORS | MY FINANCIAL TRAINER | MURPHY FINANCIAL SERVICES | MPC ADVISERS | MORGAN ADVISOR GROUP | MONTALBO FINANCIAL SERVICES | MONEY WISE PLANNING GROUP | MINKOFF CAPITAL | MINDFUL WEALTH ADVISORS | MENDHAM WEALTH MANAGEMENT | MENDAM WEALTH MANAGEMENT | MARTING FINANCIAL | MARTIN TAX & FINANCIAL SERVICES | MARTIN SHAPIRO FINANCIAL SERVICES | MARK SCHLAFER & CO. | MARATHON WEALTH & PROTECTION STRATEGIES | MACY WEALTH MANAGEMENT | LUNIN-PACK & FERRO FINANCIAL GROUP | LOVELACE AND HULLUM FINANCIAL GROUP | LOOKING GLASS FINANCIAL | LIQD INVESTMENTS | LIQD | LINDBERG FINANCIAL GROUP | LINDBERG FINANCIAL | LIFEWEALTH PRINCIPLES, LLC | LIFEWEALTH PLANNING GROUP | LENIUS FINANCIAL SERVICES | LEGACY WEALTH MANAGEMENT | LEGACY RETIREMENT PLAN SERVICES | LEGACY PREMIER ADVISORS | LEGACY PLANNING GROUP | LEGACY INVESTMENT SERVICES INC. | LEGACY INVESTMENT SERVICES | LAWRENCE E. EMMONS, CLU, CHFC, INVESTMENT ADVISORREPRESENTATIVE | LARSON FINANCIAL ADVISORS | KNOX FINANCIAL ADVISING | KHS WEALTH AND INSURANCE SERVICES | KELLER WEALTH | KAS INVESTMENT SERICES, INC. | K AND L PLANNING LLC | JONES INVESTMENT GROUP | INVESTMENT COMPONENT | INTEGRITY WEALTH SERVICES | INTEGRITY FIRST FINANCIAL | INCOME ADVISOR TEAM | HUTTON WEALTH MANAGEMENT | HUBER FINANCIAL GROUP | HIBBARD & RUBY WEALTH MANAGEMENT | HERSHEY INVESTMENTS | HEIKE WEALTH MANAGEMENT | HEDRICK WEALTH MANAGEMENT GROUP | HAVEN POINT WEALTH | HART FINANCIAL GROUP | HANNES FINANCIAL SERVICES | HADLEY FINANCIAL | GUIDED PATH FINANCIAL SERVICES & RETIREMENT PLANNING | GUIDANCE ADVISORS | GRIFFIN FINANCIAL LLC | GREYSTONE CAPITAL PARTNERS GROUP | GHJ FINANCIAL GROUP | GCG ADVISORY PARTNERS | GATEWAY CAPTIAL ADIVSORS | FPG PRIVATE WEALTH ADVISORS | FORTIS INVESTORS, INC. | FOCUS INVESTMENT SERVICES | FIRST MATE FINANCIAL ADVISORS | FINANCIAL PLANNING AND WEALTH MANAGEMENT | FINANCIAL PARTNERS GROUP | FINANCIAL DESIGN CENTER | FERDINANDSEN FINANCIAL GROUP | FERD GARCIA WEALTH MANAGEMENT | FELICIANO FINANCIAL GROUP | FAIRLEY WEALTH MANAGEMENT | EXPEDITION WEALTH MANAGEMENT | ETHOS WEALTH PLANNING | ETERNAL WEALTH MANAGEMENT | ERICKSON FINANCIAL ADVISORS | ENVISION RETIREMENT MANAGEMENT | ENGAGE FINANCIAL GROUP | EMPLOYER 401(K) SOLUTIONS | ELEKTRON WEALTH MANAGEMENT | DRESSLER FINANCIAL SERVICES | DOUGHTY FINANCIAL GROUP | DOTY FINANCIAL SOLUTIONS | DEMERY WEALTH ADVISORS | DECISION CAPITAL | DEAN FINANCIAL PLANNING SOLUTIONS | D&L FINANCIAL ADVISORS | CUI WEALTH MANAGEMENT | CUE FINANCIAL OF OKLAHOMA | CROSSBRIDGE WEALTH MANAGEMENT | CROSS FINANCIAL | CROMER FAMILY FINANCIAL | CREATIVE FINANCIAL GROUP | COTTON MILL ADVISORS | CORNERSTONE WEALTH MANAGEMENT | CONSULTANTS IN WEALTH MANAGEMENT | CONKIN FINANCIAL GROUP | COMPREHENSIVE WEALTH SOLUTIONS | COLLABORATIVE WEALTH STRATEGIES | CML WEALTH MANAGEMENT | CLEAR FINANCIAL NETWORK | CLEAR DIRECTION INVESTMENTS | CIRCLE CITY WEALTH ADVISORS | CHRIS RHYNE FINANCIAL MANAGEMENT | CENTERPOINT FINANCIAL SERVICES | CAPITAL HARVEST WEALTH PARTNERS | CALDERWOOD FINANCIAL STRATEGIES | BUNKER FINANCIAL SOLUTIONS | BULLISH BAER | BRUCE GEIGER WFS | BROOKSTONE WEALTH STRATEGIES | BRACKER WEALTH MANAGEMENT | BLUEBIRD WEALTH PARTNERS | BLUE PACIFIC ADVISORS | BETTINGER FINANCIAL | BERNSTEIN FINANCIAL GROUP | BARTHEN FINANCIAL & INSURANCE SERVICES | BARNAS FINANCIAL | AVENTURINE WEALTH MANAGEMENT | ATRIUM WEALTH ADVISORS | ATLAS FINANCIAL PLANNING | AMEV INVESTORS, INC. | AMERICAN FINANCIAL SERVICES | ALPINE PLANNING GROUP | ALPINE FINANCIAL PLANNING GROUP | ALPHA WEALTH ADVISORS, LLC | ALLIANCE FINANCIAL SERVICES INVESTMENT AND RETIREMENT ADVISORS | ALLIANCE FIANNCIAL SERVICES | ALLEN FINANCIAL ADVISEMENT | ADVANCED CAPITAL STRATEGIES | ADVANCE FINANCIAL SERVICES | 3RD COAST FINANCIAL...
CRD#: 421 / SEC#: 801-54905, 8-13846
BD
Terminated by SEC on 03/24/2024
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Contact information
Main Address
7755 3rd Street North, Oakdale, MN 55128
Mailing Address
P.o. Box 64284, St. Paul, MN 55164-0284
Phone number
(800) 800-2638
Established
Minnesota since 03/15/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
3,002
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC, INC. | SHAREHOLDER | |
| COONEY, JOHN MICHAEL | SVP, CHIEF COMPLIANCE OFFICER | 1326757 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FERGESEN, RICHARD DAVID | CEO, PRESIDENT, DIRECTOR | 717938 |
| GERB, JASON | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HODGE, TIMOTHY ROBERT | CHIEF OPERATIONS OFFICER | 2220910 |
| NORTHRIP, IRYNA YAKOVLEVNA | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISORY | 6466657 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Regulatory assets under management
| Total Number of Accounts | 101,950 |
| AUM (Assets Under Management) | $ 19,278,448,046 |
Disclosures
| Regulatory Event | 24 |
| Arbitration | 10 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/26/2024 |
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.
