James F. Scott

MILESTONE WEALTH STRATEGIES

Plano, TX 75024

Some features on this profile are disabled

CRD#: 2221856

Professional summary

James Franklin Scott is a registered financial advisor currently at MILESTONE WEALTH STRATEGIES located in Plano, Texas.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. James has worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.I PERSONALLY OWN OIL & GAS MINERAL RIGHTS IN OK AND MI SINCE THE MID 1980'S OR EARLIER. THESE ARE IN MY PERSONAL NAME & ONCE EVERY FEW YEARS AN OIL & GAS COMPANY WILL MAKE AN UNSOLICITED OFFER TO LEASE THE MINERAL RIGHTS. 1 HOUR WEEKLY, 1 DURING TRADING HOURS. NOT INVESTMENT RELATED. 2. MILESTONE WEALTH STRATEGIES - PLANO, TX. OWNER. NAMES CHANGED FROM JAMES F. SCOTT INVESTMENT SERVICES. STARTED 1/20/2011. 75 HOURS WEEKLY, 33 DURING TRADING HOURS. 3.JAMES F. SCOTT INVESTMENT SERVICES:INVESTMENT RELATED:8/2009-PRESENT:PLANO, TX:CEO/PRESIDENT:SUPPORT CO.:50 HRS/WK:40 HRS DURING TRADING:PROVIDING FINANCIAL SERVICES FOR CLIENT BASE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Franklin Scott'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®

None

Experience

Current

June 20, 2012 - Present

MILESTONE WEALTH STRATEGIES

Office #1: 6860 N. Dallas Parkway Suite 200, Plano, TX 75024

RIA

CRD#: 162625

Plano, TX

Past

April 9, 2009 - June 22, 2012

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

PLANO, TX

Past

April 1, 2009 - June 22, 2012

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

PLANO, TX

Past

December 6, 2005 - April 7, 2009

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

FRISCO, TX

Past

November 18, 2005 - April 7, 2009

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

FRISCO, TX

Past

August 30, 1996 - December 5, 2005

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

ADDISON, TX

Past

August 30, 1996 - December 5, 2005

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

June 15, 1992 - September 10, 1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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

Oklahoma
(2/4/2013)

IAR

Texas
(6/20/2012)

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: 1/20/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/26/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/12/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 7/30/2009

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 5/30/2009

General Securities Sales Supervisor - General Module Examination

Current Firm

MILESTONE WEALTH STRATEGIES

JAMES F SCOTT INVESTMENTS LLC DBA MILESTONE WEALTH STRATEGIES | MILESTONE WEALTH STRATEGIES

CRD#: 162625 / SEC#:

Louisiana

Registered Investment Advisory firm - (12/14/2016 Terminated)

Oklahoma

Registered Investment Advisory firm - (2/4/2013 Approved)

Texas

Registered Investment Advisory firm - (6/20/2012 Approved)

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).

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

6860 N. Dallas Parkway Suite 200, Plano, TX 75024

Mailing Address

Phone number

(972) 378-5577

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	41
AUM (Assets Under Management)	$ 8,000,000

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

David Alvarez

EDWARD JONES

IAR

Grapevine, TX

Kenneth Hopkins

ORION WEALTH MANAGEMENT LLC

IAR

Garland, TX

Jonathan Meaney

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

IAR

DALLAS, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James F. Scott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 1/20/1993

Series 63

Date: 6/26/1992

Series 7

Date: 6/12/1992

Series 9

Date: 7/30/2009

Series 10

Date: 5/30/2009

Current Firm

MILESTONE WEALTH STRATEGIES

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MILESTONE WEALTH STRATEGIES

TRUST BUT VERIFY

Contact information

Similar Advisors