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MA

Milton Charles Ault Iii

CRD# 2157788·Registered 1991 - 2010
Previously Registered: Being a previously registered professional could mean that Milton 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.

Professional Summary

Milton Charles Ault III, who also goes by Milton Charles III Ault, Milton Todd Ault III, Todd Ault, Milton Charles Ault Iii, was a registered financial advisor. Milton was a previously registered financial advisor and started their career in finance 1991 - 2010. Milton had worked at 8 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 6 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Milton Charles Iii Ault, Milton Todd Ault Iii, Todd Ault, Milton Charles Ault Iii

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

35 years in the financial services industry

Current & Past Employments

SCOTTSDALE CAPITAL ADVISORS CORP·CRD# 118786
BD
Newport Beach, CA
December 14, 2009 - April 29, 2010
SCOTTSDALE CAPITAL ADVISORS CORP·CRD# 118786
RIA
Newport Beach, CA
October 29, 2009 - April 29, 2010
ZEALOUS ASSET MANAGEMENT, LLC·CRD# 130156
RIA
Los Angeles, CA
November 1, 2006 - December 31, 2008
ZEALOUS CAPITAL MARKETS, LLC.·CRD# 136412
BD
Tustin, CA
October 7, 2005 - January 9, 2009
STROME SECURITIES, L.P.·CRD# 29682
BD
Santa Monica, CA
July 7, 1998 - February 22, 2005
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
BD
New York, NY
February 2, 1996 - July 7, 1998
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
December 24, 1992 - February 12, 1996
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA·CRD# 680
BD
Newark, NJ
September 6, 1991 - December 9, 1992
PRUCO SECURITIES, LLC.·CRD# 5685
BD
Newark, NJ
September 6, 1991 - December 9, 1992

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Current Firm

SC
SCOTTSDALE CAPITAL ADVISORS CORP

SCOTTSDALE CAPITAL ADVISORS | SCOTTSDALE CAPITAL ADVISROS CORP | SCOTTSDALE CAPITAL ADVISORS CORPORATION | SCOTTSDALE CAPITAL ADVISORS CORP

CRD#: 118786 / SEC#: 801-60965, 8-53685
RIA
Registered Investment Advisory firm - SEC (12/5/2002 Terminated)
Alabama
Registered Investment Advisory firm - SEC (12/16/2002 Terminated)
Arizona
Registered Investment Advisory firm - SEC (3/14/2003 Approved)
California
Registered Investment Advisory firm - SEC (4/6/2015 Approved)
Colorado
Registered Investment Advisory firm - SEC (8/29/2014 Terminated)
Connecticut
Registered Investment Advisory firm - SEC (10/15/2014 Terminated)
Georgia
Registered Investment Advisory firm - SEC (12/3/2002 Terminated)
Massachusetts
Registered Investment Advisory firm - SEC (1/3/2003 Terminated)
Minnesota
Registered Investment Advisory firm - SEC (6/12/2002 Cancelled)
Nevada
Registered Investment Advisory firm - SEC (12/3/2002 Terminated)
New Jersey
Registered Investment Advisory firm - SEC (12/3/2002 Terminated)
Ohio
Registered Investment Advisory firm - SEC (12/3/2002 Terminated)
South Carolina
Registered Investment Advisory firm - SEC (12/3/2002 Terminated)
Virginia
Registered Investment Advisory firm - SEC (12/3/2002 Terminated)
West Virginia
Registered Investment Advisory firm - SEC (12/6/2002 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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).

Contact Information

Main Address

7170 E. Mcdonald Rd. Suite 6, Scottsdale, AZ 85253

Mailing Address

7170 E. Mcdonald Rd. Suite 6, Scottsdale Az, AZ 85253

Phone Number

(480) 603-4900

Established

Arizona since 06/30/2001

Firm Type

Corporation

Fiscal Year End

June

Firm Size

Small

# of Employees

3

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
SCOTTSDALE CAPITAL ADVIORS HOLDINGS LLCSOLE SHAREHOLDER—
HURRY, JUSTINEFINOP2765969
HURRY, JUSTINECEO2765969
HURRY, JUSTINECCO2765969
HURRY, JUSTINECHIEF OPERATION OFFICER2765969
HURRY, JUSTINESOLE DIRECTOR2765969
0

Disclosures

Regulatory Event

6

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jun 1997About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1991About the Series 63 exam

Series 3 — National Commodity Futures Examination

Passed Sep 1993About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Jan 1993About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Sep 1991About the Series 6 exam

Series 24 — General Securities Principal Examination

Passed Aug 2005About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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MA
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