Scott Windsor

OSAIC INSTITUTIONS

Fruitland Park, FL 34731

Some features on this profile are disabled

CRD#: 2169612

Professional summary

Scott Windsor, CFP®, CIMA®, who also goes by Scott Mccomb Windsor, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Fruitland Park, Florida.

Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Scott has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Scott Mccomb Windsor

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) - RIA

Click below to view Scott Windsor's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Scott Windsor's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2019

CIMA^®

Certified Investment Management Analyst

Experience

Current

May 17, 2017 - Present

OSAIC INSTITUTIONS, INC.

Office #1: 3290 Us Highway 441-27, Fruitland Park, FL 34731Office #2: 406 E Silver Springs Blvd, Ocala, FL 34470Office #3: 2623 N Forrest Ridge Blvd, Unit 10, Hernando, FL 34442Office #4: 800 West North Boulevard, Leesburg, FL 34748Office #5: 745 Kristine Way, The Villages, FL 32163Office #6: Pinellas Plaza 2420 Burnsed Blvd, The Villages, FL 32163Office #7: 7093 Eastport Drive, The Villages, FL 34762

RIA

CRD#: 35371

Fruitland Park, FL

Current

May 16, 2017 - Present

OSAIC INSTITUTIONS, INC.

RIA

CRD#: 35371

Fruitland Park, FL

Past

December 8, 2010 - May 9, 2017

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

THE VILLAGES, FL

Past

December 7, 2010 - May 9, 2017

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

THE VILLAGES, FL

Past

July 1, 2003 - November 1, 2010

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

LEESBURG, FL

Past

July 1, 2003 - November 1, 2010

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

LEESBURG, FL

Past

April 20, 1998 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

LEESBURG, FL

Past

April 20, 1998 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

April 1, 1998 - May 18, 1998

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

February 7, 1995 - April 1, 1998

BARNETT INVESTMENTS, INC.

CRD#: 14897

JACKSONVILLE, FL

Past

August 5, 1993 - February 8, 1995

DETWILER FENTON WEALTH MANAGEMENT INC

CRD#: 16063

BOSTON, MA

Past

November 17, 1992 - August 3, 1993

PREMIERETRADE SECURITIES, INC.

CRD#: 16776

ALTAMONTE SPRINGS, FL

Past

February 28, 1992 - September 9, 1992

PREMIERETRADE SECURITIES, INC.

CRD#: 16776

ALTAMONTE SPRINGS, FL

Past

August 27, 1991 - January 7, 1992

F.N. WOLF & CO., INC.

CRD#: 13051

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".

OSAIC INSTITUTIONS, INC.

CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.

CRD#: 35371 / SEC#: 801-67242, 8-46661

RIA

Registered Investment Advisory firm - SEC (11/2/2006 Approved)

Connecticut

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Florida

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Indiana

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Maine

Registered Investment Advisory firm - SEC (12/7/2006 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (3/23/2007 Terminated)

New Hampshire

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Ohio

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Broker-Dealer Firm Regulated by FINRA (Boston 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).

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.

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

California
(2/13/2024)

Connecticut
(1/5/2018)

Florida
(5/16/2017)

IAR

Florida
(5/17/2017)

Illinois
(9/7/2023)

Maryland
(2/5/2021)

Michigan
(1/2/2024)

Missouri
(1/4/2022)

Ohio
(10/3/2017)

Pennsylvania
(2/13/2020)

Texas
(2/9/2022)

Virginia
(5/11/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/20/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/28/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 7/31/2009

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/26/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 5/29/2008

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 4/18/2008

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

OSAIC INSTITUTIONS, INC.

CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.

CRD#: 35371 / SEC#: 801-67242, 8-46661

RIA

Registered Investment Advisory firm - SEC (11/2/2006 Approved)

Connecticut

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Florida

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Indiana

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Maine

Registered Investment Advisory firm - SEC (12/7/2006 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (3/23/2007 Terminated)

New Hampshire

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Ohio

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

538 Preston Avenue, Meriden, CT 06450-4858

Mailing Address

538 Preston Avenue, Meriden, CT 06450-4858

Phone number

(203) 599-6000

Established

Connecticut since 04/07/1993

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

630

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADV 2A (3/31/2025)

ADV WRAP APPENDIX - AMP (3/31/2025)

ADV WRAP APPENDIX - ADVISOR MANAGED (LEGACY USE ONLY) (3/31/2025)

ADV WRAP APPENDIX - WEALTHSELECT (LEGACY USE ONLY) (3/31/2025)

ADV WRAP APPENDIX - UMA (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC INSTITUTIONS HOLDINGS, INC.	HOLDING COMPANY
AMARANTE, STEPHEN PAUL	PRESIDENT, CEO AND DIRECTOR	3165067
CORNICK, GREGORY ALLEN	DIRECTOR	3132991
HAMMOND, DORI JAMILLE	CHIEF COMPLIANCE OFFICER	3259012
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS	2627931

Regulatory assets under management

Total Number of Accounts	8,779
AUM (Assets Under Management)	$ 4,024,448,971

Disclosures

Regulatory Event

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.

Similar Advisors

Diana London

PFS INVESTMENTS INC.

IAR

Windham, ME

Lawrence Springer

OSAIC WEALTH, INC.

IAR

Hockessin, DE

Frederick Sharbaugh

PARK AVENUE SECURITIES LLC

IAR

Baton Rouge, LA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Scott Windsor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Windsor's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Scott Windsor's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC INSTITUTIONS, INC.

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BARNETT INVESTMENTS, INC.

DETWILER FENTON WEALTH MANAGEMENT INC

PREMIERETRADE SECURITIES, INC.

PREMIERETRADE SECURITIES, INC.

F.N. WOLF & CO., INC.

Primary Firm SEC Registration

OSAIC INSTITUTIONS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/20/1999

Series 63

Date: 8/28/1991

SIE

Date: 10/1/2018

Series 3

Date: 7/31/2009

Series 7

Date: 8/26/1991

Series 10

Date: 5/29/2008

Series 9

Date: 4/18/2008

FINRA

Current Firm

OSAIC INSTITUTIONS, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

OSAIC INSTITUTIONS, INC.

TRUST BUT VERIFY

Similar Advisors