Neal R. Scott

BROOKMONT CAPITAL MANAGEMENT

Dallas, TX 75225

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CRD#: 2174060

Professional summary

Neal Ray Scott, who also goes by Neal R Scott, is a registered financial advisor currently at BROOKMONT CAPITAL MANAGEMENT located in Dallas, Texas.

Neal is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Neal has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Neal R Scott

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 Neal Ray Scott'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®

None

Experience

Current

March 26, 2018 - Present

BROOKMONT CAPITAL MANAGEMENT

Office #1: 5950 Berkshire Lane Suite 1420, Dallas, TX 75225

RIA

CRD#: 145475

Dallas, TX

Past

May 12, 1998 - October 12, 2007

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

BIRMINGHAM, AL

Past

December 15, 1993 - July 25, 1996

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CRD#: 17086

BIRMINGHAM, AL

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".

BROOKMONT CAPITAL MANAGEMENT

BROOKMONT CAPITAL MANAGEMENT | BROOKMONT CAPITAL MANAGEMENT, LLC

CRD#: 145475 / SEC#: 801-68533

RIA

Registered Investment Advisory firm - (11/15/2007 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Texas
(3/26/2018)

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 65

Date: 3/26/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/9/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/14/1993

General Securities Representative Examination

Current Firm

BROOKMONT CAPITAL MANAGEMENT

BROOKMONT CAPITAL MANAGEMENT | BROOKMONT CAPITAL MANAGEMENT, LLC

CRD#: 145475 / SEC#: 801-68533

RIA

Registered Investment Advisory firm - (11/15/2007 Approved)

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Contact information

Main Address

5950 Berkshire Lane Suite 1420, Dallas, TX 75225

Mailing Address

Phone number

(214) 953-0190

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BROOKMONT FORM ADV PART 2A FYE 2024 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	154
AUM (Assets Under Management)	$ 860,645,734

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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Neal R. Scott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

BROOKMONT CAPITAL MANAGEMENT

MORGAN KEEGAN & COMPANY, LLC

BBVA COMPASS INVESTMENT SOLUTIONS, INC

Primary Firm SEC Registration

BROOKMONT CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 3/26/2018

Series 63

Date: 8/9/1994

Series 7

Date: 12/14/1993

Current Firm

BROOKMONT CAPITAL MANAGEMENT

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BROOKMONT CAPITAL MANAGEMENT

TRUST BUT VERIFY

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