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MA

Milton C. Ault

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CRD#: 2157788
MA

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.

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 is a previously registered financial advisor and started their career in finance in 1991. Milton had worked at 8 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Milton Charles Iii Ault | Milton Todd Ault Iii | Todd Ault | Milton Charles Ault Iii

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

December 14, 2009 - April 29, 2010

SCOTTSDALE CAPITAL ADVISORS CORP

BD
CRD#: 118786
NEWPORT BEACH, CA
Past

October 29, 2009 - April 29, 2010

SCOTTSDALE CAPITAL ADVISORS CORP

RIA
CRD#: 118786
NEWPORT BEACH, CA
Past

November 1, 2006 - December 31, 2008

ZEALOUS ASSET MANAGEMENT, LLC

RIA
CRD#: 130156
LOS ANGELES, CA
Past

October 7, 2005 - January 9, 2009

ZEALOUS CAPITAL MARKETS, LLC.

BD
CRD#: 136412
TUSTIN, CA
Past

July 7, 1998 - February 22, 2005

STROME SECURITIES, L.P.

BD
CRD#: 29682
SANTA MONICA, CA
Past

February 2, 1996 - July 7, 1998

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

December 24, 1992 - February 12, 1996

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

September 6, 1991 - December 9, 1992

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
NEWARK, NJ
Past

September 6, 1991 - December 9, 1992

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 6/12/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/4/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 9/1/1993
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 1/25/1993
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/4/1991
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/18/2005
General Securities Principal Examination

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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Event6

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.

Company Information

SCOTTSDALE CAPITAL ADVISORS CORP

CRD#: 118786

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