James Franklin Scott
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.
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
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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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
34 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
JAMES F SCOTT INVESTMENTS LLC DBA MILESTONE WEALTH STRATEGIES | MILESTONE WEALTH STRATEGIES
Contact Information
Main Address
6860 N. Dallas Parkway Suite 200, Plano, TX 75024Phone Number
(972) 378-5577# of Employees
1Documents
Regulatory Assets Under Management
Total Number of Accounts
41AUM (Assets Under Management)
$8,000,000Similar 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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State Registrations and Notice Filings
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jul 2009About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed May 2009About the Series 10 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view James Franklin Scott's CRS (Customer Relationship Summary).
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