Scott W. Barker

BANKERS LIFE ADVISORY SERVICES

Scarborough, ME 04074

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CRD#: 1826578

Professional summary

Scott Wilson Barker, who also goes by Scott W Barker, is a registered financial advisor currently at BANKERS LIFE ADVISORY SERVICES, INC. located in Scarborough, Maine and BANKERS LIFE SECURITIES, INC. located in Scarborough, Maine.

Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Scott has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Scott W Barker

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.

BANKERS LIFE & CASUALTY POSITION: Branch Sales Manager NATURE: Insurance sales INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 07/15/2005 ADDRESS: 360 US RT 1, Scarborough ME 04074, United States DESCRIPTION: MANAGE A TEAM OF AGENTS, RESPONSIBLE FOR HIRING AND TRAINING OF AGENTS, I am also appointed with KFA through BLC which allows agents to write business for Medicare Supplement, Annuity and Equity Indexed annuity insurance products, life insurance, health and LTC. Alzheimer's Association POSITION: Board Member NATURE: Charity INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 09/28/2015 ADDRESS: Route , Scarborough ME 04074 DESCRIPTION: I serve on the Board of the Maine chapter of the Alzheimer's association. Duties are to assist in the decisions for the Chapter. Budget and Fundraising opportunities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Wilson Barker'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 6, 2016 - Present

BANKERS LIFE ADVISORY SERVICES, INC.

Office #1: 360 Us Route 1 Suite 202, Scarborough, ME 04074

RIA

CRD#: 281285

Scarborough, ME

Current

May 26, 2016 - Present

BANKERS LIFE SECURITIES, INC.

Office #1: 360 Us Route 1, Suite 202, Scarborough, ME 04074

CRD#: 173962

Scarborough, ME

Past

June 16, 2010 - May 31, 2016

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

SCARBOROUGH, ME

Past

June 15, 2010 - May 26, 2016

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

SCARBOROUGH, ME

Past

April 27, 2006 - May 28, 2010

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

BANGOR, ME

Past

March 13, 2006 - May 28, 2010

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

BANGOR, ME

Past

January 7, 2002 - August 15, 2005

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

PORTSMOUTH, NH

Past

November 8, 1991 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

November 8, 1991 - August 15, 2005

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

BANKERS LIFE ADVISORY SERVICES, INC.

BANKERS LIFE | BL ADVISORY SERVICES, INC | BANKERS LIFE ADVISORY SERVICES, INC.

CRD#: 281285 / SEC#: 801-106953

RIA

Registered Investment Advisory firm - (11/18/2015 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(6/6/2024)

Florida
(5/27/2016)

Georgia
(2/10/2017)

Maine
(5/26/2016)

IAR

Maine
(7/6/2016)

Massachusetts
(5/26/2016)

New Hampshire
(5/26/2016)

Ohio
(4/30/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/13/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/29/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/12/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/6/1991

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 10/7/2003

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

BANKERS LIFE ADVISORY SERVICES, INC.

BANKERS LIFE | BL ADVISORY SERVICES, INC | BANKERS LIFE ADVISORY SERVICES, INC.

CRD#: 281285 / SEC#: 801-106953

RIA

Registered Investment Advisory firm - (11/18/2015 Approved)

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Contact information

Main Address

303 E. Wacker Drive 5th Fl, Chicago, IL 60601

Mailing Address

Phone number

(844) 553-9083

Established

Firm type

Fiscal year end

# of Employees

384

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BLAS WRAP BROCHURE 03012025 (2/28/2025)

BLAS-ADV-PART2A 03012025 (2/28/2025)

Regulatory assets under management

Total Number of Accounts	14,938
AUM (Assets Under Management)	$ 1,943,847,697

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

Scott W. Barker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Wilson Barker's CRS (Customer Relationship Summary).

Certified licenses

Experience

BANKERS LIFE SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

PRUCO SECURITIES, LLC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

BANKERS LIFE ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/13/1999

Series 63

Date: 1/29/1992

SIE

Date: 10/1/2018

Series 7

Date: 3/12/2003

Series 6

Date: 11/6/1991

Series 26

Date: 10/7/2003

FINRA

Current Firm

BANKERS LIFE ADVISORY SERVICES, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BANKERS LIFE ADVISORY SERVICES, INC.

TRUST BUT VERIFY

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