SS
Scott G. Stevens
MEDALLION WEALTH ADVISORS
Farmington, CT 06032
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CRD#: 2202156
SS
Professional summary
Scott G. Stevens, who also goes by Scott Gregory Stevens, is a registered financial advisor currently at MEDALLION WEALTH ADVISORS, LLC located in Farmington, Connecticut and OSAIC WEALTH, INC. located in Farmington, Connecticut.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Scott has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Scott Gregory Stevens
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.
1. Stevens & Associates, LLC Address: 24 Avonside, Avon, CT Nature of the Business: Rental Real Estate Position/Title: Proprietor/Owner Investment Related: NO Start Date: 09/01/2002 Hours per month devoted to this business: 1 Hours per month devoted to this business during trading hours: 0 Description of duties: pay bills 2. Medallion Wealth Advisors, LLC. RIA. advisory business. 150 hours devoted per month, 150 hours during market hours. Start date 11/2018- Zero percent ownership 3. Highland Capital Brokerage: 1 Farm Glen Blvd. Farmington, CT 06032: Insurance: Investment Related? No: Start date 06/2019: Insurance agent/0% Ownership: $5000/year: 5 hrs/month: 3 hrs/month during marketing hours trading hours 4. STEVENS & ASSOCIATES, LLC POSITION: OWNER NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2003 ADDRESS: 24 AVONSIDE, AVON CT 06001, United States DESCRIPTION: MANAGMENT 5. MEDALLION WEALTH ADVISORS POSITION: VP-INVESTEMENTS NATURE: INVESTMENT ADVISORY & FINANCIAL PLANNING AS AN SEC REGULATED RIA. INVESTMENT RELATED: Yes NUMBER OF HOURS: 170 SECURITIES TRADING HOURS: 32 START DATE: 12/01/2018 ADDRESS: 2 BRIDGEWATER RD, SUITE 201, FARMINGTON CT 06032, United States DESCRIPTION: INVESTMENT ADVISORY AND FINANCIAL PLANNING 6. HIGHLAND CAPITAL POSITION: INSURANCE AGENT NATURE: HEALTH AND DISABILITY INSURANCE SALES INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 12/01/2018 ADDRESS: ONE FARM GLEN ROAD, FARMINGTON CT 06032, United States DESCRIPTION: HEALTH & DISABILITY INSURANCE AGENT
CRS (Client Relationship Summary) - RIA
Click below to view Scott G. Stevens's 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®
NoneExperience
Current
December 6, 2018 - Present
MEDALLION WEALTH ADVISORS, LLC
Office #1: 2 Bridgewater Road Suite 201, Farmington, CT 06032RIA
CRD#: 156064
Farmington, CT
Current
October 11, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 2 Bridgewater Road Suite 201, Farmington, CT 06032RIA
BD
CRD#: 23131
FARMINGTON, CT
Past
January 10, 2019 - October 11, 2024
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
FARMINGTON, CT
Past
February 23, 2018 - November 30, 2018
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
WEST HARTFORD, CT
Past
February 23, 2018 - November 30, 2018
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
WEST HARTFORD, CT
Past
June 1, 2009 - February 27, 2018
MORGAN STANLEY
RIA
CRD#: 149777
WEST HARTFORD, CT
Past
June 1, 2009 - February 27, 2018
MORGAN STANLEY
BD
CRD#: 149777
WEST HARTFORD, CT
Past
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
WEST HARTFORD, CT
Past
April 23, 1992 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
WEST HARTFORD, CT
Past
January 23, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
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".
MW
MEDALLION WEALTH ADVISORS, LLC
MEDALLION WEALTH ADVISORS, LLC
CRD#: 156064 / SEC#: 801-116959
RIA
Registered Investment Advisory firm - (7/15/2019 Approved)Connecticut
Registered Investment Advisory firm - (7/24/2019 Terminated)Massachusetts
Registered Investment Advisory firm - (7/23/2019 Terminated)New Hampshire
Registered Investment Advisory firm - (8/6/2019 Terminated)New Jersey
Registered Investment Advisory firm - (7/31/2019 Terminated)New York
Registered Investment Advisory firm - (7/23/2019 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/24/2019 Terminated)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.RR
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
RR
Arizona(10/11/2024)
RR
Colorado(10/11/2024)
IAR
Connecticut(12/6/2018)
RR
Connecticut(10/11/2024)
RR
Florida(10/11/2024)
RR
Maine(10/11/2024)
RR
Maryland(10/11/2024)
IAR
Massachusetts(1/10/2019)
RR
Massachusetts(10/11/2024)
IAR
New Jersey(12/12/2018)
RR
New Jersey(10/11/2024)
RR
New York(10/11/2024)
RR
North Carolina(10/11/2024)
IAR
Pennsylvania(12/7/2018)
RR
Pennsylvania(10/11/2024)
RR
South Carolina(10/11/2024)
RR
Washington(10/22/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MW
MEDALLION WEALTH ADVISORS, LLC
MEDALLION WEALTH ADVISORS, LLC
CRD#: 156064 / SEC#: 801-116959
RIA
Registered Investment Advisory firm - (7/15/2019 Approved)Connecticut
Registered Investment Advisory firm - (7/24/2019 Terminated)Massachusetts
Registered Investment Advisory firm - (7/23/2019 Terminated)New Hampshire
Registered Investment Advisory firm - (8/6/2019 Terminated)New Jersey
Registered Investment Advisory firm - (7/31/2019 Terminated)New York
Registered Investment Advisory firm - (7/23/2019 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/24/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2 Bridgewater Road Suite 201, Farmington, CT 06032
Mailing Address
Phone number
(860) 967-3032
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,493 |
| AUM (Assets Under Management) | $ 407,428,379 |
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.
