RS
Richard K. Scott
RESEARCH FINANCIAL STRATEGIES
Nolensville, TN
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CRD#: 1989224
RS
Professional summary
Richard Keith Scott, who also goes by Rick Scott, is a registered financial advisor currently at RESEARCH FINANCIAL STRATEGIES located in Nolensville, Tennessee and PURSHE KAPLAN STERLING INVESTMENTS located in Chippewa Lake, Ohio.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Richard has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick Scott
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) YURICH FINANCIAL GROUP; 50% OWNER; NOT INVESTMENT RELATED; CPA, TAX PREPARATION, ESTATE PLANNING; AT REGISTERED LOCATION; SEASONAL (FEB - APRIL 15) 2) REUTEMAN FINANCIAL SOLUTIONS DBA RESEARCH FINANCIAL STRATEGIES; INVESTMENT RELATED; AT REGISTERED LOCATION; RIA; IAR; START DATE 10/2012; 160 HRS/MONTH. 3) YURICH ASSOCIATES AGENCY; INVESTMENT RELATED; AT REGISTERED LOCATION; INSURANCE AGENCY; AGENT; START DATE 5/2002; 3-4 HRS/MONTH. 4) KRAMO FAMILY TRUST. INVESTMENT RELATED. AT REGISTERED LOCATION. TRUST AND ESTATE. CO-TRUSTEE/POA/CPA. START DATE 12/10/2019. 30 HOURS PER MONTH/1-2 DURING TRADING. TAX PREPARATION, FIDICUIARY RESPONSIBILITIES, PAYING BILLS, DEPOSITS, MANAGING INVESTMENT ACCOUNT
CRS (Client Relationship Summary) - RIA
Click below to view Richard Keith 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®
NoneExperience
Current
October 22, 2012 - Present
RESEARCH FINANCIAL STRATEGIES
RIA
CRD#: 153247
Nolensville, TN
Current
October 2, 2012 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 79 Lakefield Lane Box 34, Chippewa Lake, OH 44215BD
CRD#: 35747
Chippewa Lake, OH
Past
May 26, 2011 - October 1, 2012
ARTEMIS WEALTH ADVISORS LLC
RIA
CRD#: 154714
CLEVELAND, OH
Past
January 27, 2006 - November 13, 2007
MANTIS EQUITY MANAGEMENT SYSTEM
RIA
CRD#: 120785
PARMA HTS, OH
Past
April 3, 1992 - October 1, 2012
FINANCIAL AMERICA SECURITIES, INC.
BD
CRD#: 5100
CLEVELAND, OH
Past
July 18, 1991 - April 6, 1992
NORTH AMERICAN MANAGEMENT, INC.
BD
CRD#: 624
SIOUX FALLS, SD
Past
January 1, 1990 - May 30, 1991
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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".
RF
RESEARCH FINANCIAL STRATEGIES
APPLIED FINANCIAL WISDOM | WINSTON PAUL CAPITAL MANAGEMENT | WEALTH PLANNING CONCEPTS, LLC | TRUE PRIVATE WEALTH MANAGEMENT | THE LEGACY FOUNDATION, LLC | THE CAPITAL GROUP OF VIRGINIA | REUTEMANN FINANCIAL SOLUTIONS, INC. | RETIREMENT INVESTMENT STRATEGIES, LLC | RETIREMENT INVESTMENT STRATEGIES | RESEARCH FINANCIAL STRATEGIES | PEACE OF MIND WEALTH MANAGEMENT | P.A. FINANCIAL SERVICES CORPORATION | LANDIS FINANCIAL SERVICES | KEYARX CAPITAL ADVISORS | KEYARK CAPITAL ADVISORS | JC FINANCIAL | GOAR FINANCIAL SERVICES | FINANCIAL SECURITY GROUP
CRD#: 153247 / SEC#: 801-71400
RIA
Registered Investment Advisory firm - (5/3/2010 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.RR
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
RR
Colorado(1/13/2021)
RR
Florida(10/2/2012)
RR
North Carolina(2/5/2013)
RR
Ohio(10/2/2012)
IAR
Ohio(10/23/2012)
RR
Tennessee(10/2/2012)
IAR
Tennessee(10/22/2012)
RR
Texas(3/6/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RF
RESEARCH FINANCIAL STRATEGIES
APPLIED FINANCIAL WISDOM | WINSTON PAUL CAPITAL MANAGEMENT | WEALTH PLANNING CONCEPTS, LLC | TRUE PRIVATE WEALTH MANAGEMENT | THE LEGACY FOUNDATION, LLC | THE CAPITAL GROUP OF VIRGINIA | REUTEMANN FINANCIAL SOLUTIONS, INC. | RETIREMENT INVESTMENT STRATEGIES, LLC | RETIREMENT INVESTMENT STRATEGIES | RESEARCH FINANCIAL STRATEGIES | PEACE OF MIND WEALTH MANAGEMENT | P.A. FINANCIAL SERVICES CORPORATION | LANDIS FINANCIAL SERVICES | KEYARX CAPITAL ADVISORS | KEYARK CAPITAL ADVISORS | JC FINANCIAL | GOAR FINANCIAL SERVICES | FINANCIAL SECURITY GROUP
CRD#: 153247 / SEC#: 801-71400
RIA
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Contact information
Main Address
2273 Research Blvd Suite 101, Rockville, MD 20850-3264
Mailing Address
Phone number
(301) 294-7500
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (22 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,365 |
| AUM (Assets Under Management) | $ 254,445,293 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
