Scott T. Woodruff

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CRD#: 1964468

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 Thomas Woodruff, who also goes by Scott Woodruff, Woody Woodruff, was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 1989. Scott had worked at 10 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 7, Series 6, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Scott Woodruff | Woody Woodruff

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.

The advisor shows no other business activity.

Blog Corner

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®

None

Experience

Past

June 20, 2017 - February 22, 2018

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

Cedar Park, TX

Past

November 22, 2016 - February 22, 2018

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

Cedar Park, TX

Past

February 17, 2016 - May 31, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

LAKEWAY, TX

Past

January 22, 2016 - May 31, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

LAKEWAY, TX

Past

June 30, 2010 - January 28, 2016

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

AUSTIN, TX

Past

December 1, 2009 - June 10, 2010

CINCINNATI ANALYSTS, INC.

RIA

CRD#: 5478

AUSTIN, TX

Past

December 1, 2009 - June 10, 2010

CINCINNATI ANALYSTS, INC.

CRD#: 5478

AUSTIN, TX

Past

September 3, 2009 - December 1, 2009

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

AUSTIN, TX

Past

August 28, 2009 - December 1, 2009

PARK AVENUE SECURITIES LLC

CRD#: 46173

AUSTIN, TX

Past

May 28, 2008 - July 7, 2009

THE MUTUAL FUND STORE

RIA

CRD#: 141384

CLIFTON PARK, NY

Past

January 11, 2005 - August 1, 2006

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

AUSTIN, TX

Past

April 27, 2000 - December 31, 2004

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

AUSTIN, TX

Past

April 27, 2000 - August 1, 2006

PARK AVENUE SECURITIES LLC

CRD#: 46173

AUSTIN, TX

Past

September 24, 1997 - March 7, 2000

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

September 24, 1997 - March 17, 2000

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

Past

January 24, 1997 - July 12, 1997

WELLS FARGO BROKERAGE SERVICES, L.L.C.

CRD#: 16100

MINNEAPOLIS, MN

Past

August 16, 1996 - January 16, 1997

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

November 18, 1991 - October 27, 1993

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

October 11, 1989 - February 22, 1994

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

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".

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 Approved)

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.

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 66

Date: 2/9/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/21/2009

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/22/1999

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 2/22/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/11/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/15/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/11/2000

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 11/20/1997

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

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 Approved)

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Contact information

Main Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Mailing Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Phone number

(877) 232-2142

Established

Firm type

Fiscal year end

# of Employees

337

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AFA FORM ADV FIRM BROCHURE 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	280
AUM (Assets Under Management)	$ 82,015,793

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 T. Woodruff

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALLSTATE FINANCIAL SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

ALLSTATE FINANCIAL SERVICES, LLC

CINCINNATI ANALYSTS, INC.

CINCINNATI ANALYSTS, INC.

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

THE MUTUAL FUND STORE

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

WELLS FARGO BROKERAGE SERVICES, L.L.C.

CAPITAL BROKERAGE CORPORATION

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

ALLSTATE FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/9/2016

Series 63

Date: 8/21/2009

Series 65

Date: 12/22/1999

SIE

Date: 2/22/2018

Series 7

Date: 2/11/1997

Series 6

Date: 8/15/1996

Series 24

Date: 5/11/2000

Series 8

Date: 11/20/1997

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLSTATE FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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