Scott John Zollo
Professional Summary
Scott John Zollo is a registered financial advisor currently at CORE ALPHA, INC. located in Rochester, New York and MUTUAL FUNDS ASSOCIATES INC. located in Rochester, New York. 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 2 firms and has passed the Series 63, Series 99TO, SIE, Series 52, Series 62, Series 6, Series 28, Series 51 and...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
xxxxx@xxxx.xxx
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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
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Current Firm
CORE ALPHA, INC.
Contact Information
Main Address
1701 Chili Avenue, Rochester, NY 14624Phone Number
(585) 235-3600# of Employees
3SEC notice filing (3 States and Territories)
Registered to provide investment advisory services in 3 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
858AUM (Assets Under Management)
$146,054,102Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
CORE ALPHA, INC.
State Registrations and Notice Filings
(11/21/2007)
(8/6/2021)
(1/1/1995)
(7/11/2021)
(7/11/2021)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 62 — Corporate Securities Limited Representative Examination
Passed Dec 1997Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 1991About the Series 6 examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Oct 2006About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Scott John Zollo's CRS (Customer Relationship Summary).
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