Emmett D. Scarborough

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CRD#: 2058487

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.

Emmett Dale Scarborough was a registered financial professional .

Emmett is a previously registered financial professional and started their career in finance in 1990. Emmett had worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

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

September 18, 2014 - September 10, 2020

THE MARSHALL FINANCIAL GROUP LLC

RIA

CRD#: 146362

ANNAPOLIS, MD

Past

June 30, 2014 - November 14, 2018

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

HUNT VALLEY, MD

Past

January 2, 2013 - July 25, 2014

WINDSOR STREET CAPITAL, LP

CRD#: 34171

EDGEWATER, MD

Past

November 11, 2003 - December 31, 2014

HARBOR INVESTMENT COUNSEL, INC.

RIA

CRD#: 121878

ANNAPOLIS, MD

Past

July 25, 1994 - December 31, 2012

CAPITAL INVESTMENT GROUP, INC.

CRD#: 14752

EDGEWATER, MD

Past

July 27, 1990 - July 6, 1994

EAGLE EQUITIES, INC.

CRD#: 10569

GLEN BURNIE, MD

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".

THE MARSHALL FINANCIAL GROUP LLC

FIDUCIARY FIRST ADVISORS | THE MARSHALL FINANCIAL GROUP LLC

CRD#: 146362 / SEC#: 801-117820

RIA

Registered Investment Advisory firm - (12/18/2019 Approved)

Florida

Registered Investment Advisory firm - (2/11/2020 Terminated)

Maryland

Registered Investment Advisory firm - (2/11/2020 Terminated)

New Jersey

Registered Investment Advisory firm - (3/18/2020 Terminated)

Pennsylvania

Registered Investment Advisory firm - (2/14/2020 Terminated)

Texas

Registered Investment Advisory firm - (2/11/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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: 10/17/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/2/1992

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/26/1990

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/25/1993

General Securities Principal Examination

Current Firm

THE MARSHALL FINANCIAL GROUP LLC

FIDUCIARY FIRST ADVISORS | THE MARSHALL FINANCIAL GROUP LLC

CRD#: 146362 / SEC#: 801-117820

RIA

Registered Investment Advisory firm - (12/18/2019 Approved)

Florida

Registered Investment Advisory firm - (2/11/2020 Terminated)

Maryland

Registered Investment Advisory firm - (2/11/2020 Terminated)

New Jersey

Registered Investment Advisory firm - (3/18/2020 Terminated)

Pennsylvania

Registered Investment Advisory firm - (2/14/2020 Terminated)

Texas

Registered Investment Advisory firm - (2/11/2020 Terminated)

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Contact information

Main Address

225 Schilling Circle Suite 295, Hunt Valley, MD 21031

Mailing Address

Phone number

(410) 563-1190

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (21 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISLOSURE DOCUMENT FOR ALL CLIENTS (1/31/2025)

Regulatory assets under management

Total Number of Accounts	2,449
AUM (Assets Under Management)	$ 593,043,749

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2024	Cover Page	Report
07/24/2023	Cover Page	Report

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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Emmett D. Scarborough

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SECURITIES SERVICE NETWORK, LLC

WINDSOR STREET CAPITAL, LP

HARBOR INVESTMENT COUNSEL, INC.

CAPITAL INVESTMENT GROUP, INC.

EAGLE EQUITIES, INC.

Primary Firm SEC Registration

THE MARSHALL FINANCIAL GROUP LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/17/2001

SIE

Date: 10/1/2018

Series 7

Date: 4/2/1992

Series 6

Date: 7/26/1990

Series 24

Date: 5/25/1993

Current Firm

THE MARSHALL FINANCIAL GROUP LLC

Contact information

SEC notice filing (21 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

THE MARSHALL FINANCIAL GROUP LLC

TRUST BUT VERIFY

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