Phyllis R. Scruggs
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.
Phyllis Raiford Scruggs, CFA, CFP®, who also goes by Phyllis Ann Raiford, Phyllis R Scruggs, was a registered financial professional .
Phyllis is a previously registered financial professional and started their career in finance in 1992. Phyllis had worked at 3 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1989
Experience
May 25, 2016 - November 7, 2025
WADDELL & ASSOCIATES, LLC
November 7, 2003 - May 25, 2016
WADDELL & ASSOCIATES INC
July 31, 1992 - October 4, 1993
MORGAN KEEGAN & COMPANY, LLC
Primary Firm SEC Registration
WADDELL & ASSOCIATES, LLC
CRD#: 283723 / SEC#: 801-107784
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WADDELL & ASSOCIATES, LLC
CRD#: 283723 / SEC#: 801-107784
Contact information
SEC notice filing (25 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,791 |
| AUM (Assets Under Management) | $ 1,701,742,264 |
Red Flags
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