SS
Shaun T. Scott
OLD FORGE WEALTH MANAGEMENT
Warwick, RI 02886
Some features on this profile are disabled
CRD#: 1907367
SS
Professional summary
Shaun Thomas Scott, AIF® is a registered financial advisor currently at OLD FORGE WEALTH MANAGEMENT, LLC located in Warwick, Rhode Island.
Shaun is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Shaun has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 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. 10/20/04 - NON-VARIABLE INSURANCE - INV RELATED - At Reported Business Location(s) 2. 4/24/07 - BARBARA J. STAHLECKER, DBA FINANCIAL PLANNERS LTC SERVICES - Non-Variable Insurance- At Reported Business Location(s) 3. 4/15/08 - Notary - VALUE ADDED SERVICE - NOT INVESTMENT RELATED - NORTH KINGSTOWN, RI. 4. 12/23/11 - REAL ESTATE RENTAL - PERSONAL ASSET - INVESTMENT RELATED - 2% OF TIME SPENT - URUGUAY. 5. 3/22/18 - No Business Name - Investment Related - Veince, FL - Real Estate Rental - Started 04/12/17 - 0 Hours Per Month 6. 2/28/19 - Andrea Trout - investment related - At reported business location(s) - Act in a Fiduciary Capacity - 1 hr/mo - 1 hr during trading - Co-POA 7. 9/10/19 - Dogwood Properties, LLC - Investment related - Fleming Ln, Lubec, ME - Real Estate Rental - start date:10/15/2019 - 1 hr/mo - 0 hrs during trading. 8. 9/10/19 - Dogwood Properties, LLC - Investment related - Bar Road, Lubec, ME - Real Estate Rental - start date:10/15/2019 - 1 hr/mo - 0 hrs during trading. 9. 10/9/20 - LTCI Partners - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 08/24/2020 - 5 Hours Per Month/3 Hours During Securities Trading 10. 11/12/20 - Art Jetter & Company - Insurance Marketing - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 11/25/20 - 3 Hours A Month During Securities Trading. 11. 3/23/21 - Oceanview Life and Annuity Company - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Agent - Started 03/23/2021 - 2 Hours A Month During Securities Trading. 12. 3/24/21 - Americo Financial Life and Annuity Insurance Company - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Agent - Started 03/23/2021 - 2 Hours Per Month During Securities Trading. 13. 9/9/21 - Scarthio Frost Properties - Investment Related - Warwick, RI - Real Estate Rental - Start Date: 11/01/2021 - 0 Hours Per Month/0 Hours During Securities Trading 14. 9/27/22 - Aspida - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Independent Insurance Agent - Start Date - 09/26/2022 - 10 Hours Per Month/10 Hours During Securities Trading 15. 2/21/24- Safe Harbor Financial- Non-Variable Insurance-INV REL- At Reported Bus Loc(s)- Start 2/1/24- 2 hrs a mth/ during trading
CRS (Client Relationship Summary) - RIA
Click below to view Shaun Thomas Scott's 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®
Experience
Current
November 1, 2022 - Present
OLD FORGE WEALTH MANAGEMENT, LLC
Office #1: 3351 Post Road First Floor, Warwick, RI 02886RIA
CRD#: 323417
Warwick, RI
Past
November 9, 2022 - February 7, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
WARWICK, RI
Past
September 9, 1997 - November 4, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
WARWICK, RI
Past
June 25, 1996 - June 10, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
WARWICK, RI
Past
January 9, 1989 - July 2, 1996
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
EDISON, NJ
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
Florida(8/23/2023)
IAR
Massachusetts(9/6/2023)
IAR
Nebraska(8/24/2023)
IAR
Rhode Island(11/1/2022)
IAR
Texas(4/14/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
OF
OLD FORGE WEALTH MANAGEMENT, LLC
OLD FORGE WEALTH MANAGEMENT, LLC
CRD#: 323417 / SEC#:
Florida
Registered Investment Advisory firm - (8/23/2023 Approved)Massachusetts
Registered Investment Advisory firm - (9/6/2023 Approved)Nebraska
Registered Investment Advisory firm - (8/24/2023 Approved)Rhode Island
Registered Investment Advisory firm - (11/1/2022 Approved)Texas
Registered Investment Advisory firm - (3/28/2023 Conditional Restricted)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
3351 Post Road First Floor, Warwick, RI 02886
Mailing Address
Phone number
(401) 885-5787
Established
Firm type
Fiscal year end
# of Employees
3
Regulatory assets under management
| Total Number of Accounts | 433 |
| AUM (Assets Under Management) | $ 71,000,000 |
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.
Company Information
OLD FORGE WEALTH MANAGEMENT, LLC
CRD#: 323417Warwick, RI 02886TRUST BUT VERIFY
Monitor Shaun Scott
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
