BS
Bruce J. Scott
MOORS & CABOT
Athens, AL
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CRD#: 2227107
BS
Professional summary
Bruce Johnson Scott, who also goes by Bruce Scott, is a registered financial advisor currently at MOORS & CABOT, INC. located in Athens, Alabama.
Bruce is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Bruce has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bruce 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.
CRS (Client Relationship Summary) - RIA
Click below to view Bruce Johnson Scott's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Bruce Johnson 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®
NoneExperience
Current
March 17, 2025 - Present
MOORS & CABOT, INC.
RIA
BD
CRD#: 594
Athens, AL
Current
March 17, 2025 - Present
MOORS & CABOT, INC.
Office #1: Seafoam Village 2800 Placida Rd Unit 103, Englewood, FL 34224RIA
BD
CRD#: 594
Englewood, FL
Past
November 18, 2022 - March 24, 2025
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
HUNTSVILLE, AL
Past
November 17, 2022 - November 17, 2022
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
HUNTSVILLE, AL
Past
November 17, 2022 - March 24, 2025
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
HUNTSVILLE, AL
Past
April 28, 2014 - November 21, 2022
EDWARD JONES
RIA
CRD#: 250
MADISON, AL
Past
April 1, 2014 - November 21, 2022
EDWARD JONES
BD
CRD#: 250
MADISON, AL
Past
December 21, 1995 - January 24, 1996
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
January 5, 1994 - May 1, 1995
ALIANT FINANCIAL SERVICES CORPORATION
BD
CRD#: 34768
ALEXANDER CITY, AL
Past
April 22, 1992 - September 30, 1993
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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".
MOORS & CABOT, INC.
MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC
CRD#: 594 / SEC#: 801-48726, 8-23060
RIA
Registered Investment Advisory firm - SEC (3/30/1995 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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
Alabama(3/17/2025)
IAR
Alabama(3/17/2025)
RR
Alaska(3/17/2025)
RR
Colorado(3/24/2025)
RR
Florida(3/17/2025)
RR
Georgia(3/17/2025)
RR
Idaho(3/17/2025)
RR
Kansas(4/16/2025)
RR
Louisiana(3/17/2025)
RR
Missouri(3/17/2025)
RR
North Carolina(3/17/2025)
RR
Oklahoma(3/17/2025)
RR
Pennsylvania(3/17/2025)
RR
South Carolina(3/17/2025)
RR
Tennessee(3/17/2025)
RR
Texas(3/17/2025)
RR
Virginia(3/17/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
MOORS & CABOT, INC.
MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC
CRD#: 594 / SEC#: 801-48726, 8-23060
RIA
Registered Investment Advisory firm - SEC (3/30/1995 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Federal Street 19th Floor, Boston, MA 02110
Mailing Address
One Federal Street 19th Floor, Boston, MA 02110
Phone number
(617) 426-0500
Established
Massachusetts since 07/05/1978
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
121
SEC notice filing (35 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EIGHTEEN NINETY PARTNERS, LLC | SHAREHOLDER | |
| BRAUN, MICHAEL CHARLES | EVP/COO/DIRECTOR | 2005370 |
| CUETARA, JOSEPH PHILIP | SVP FIXED INCOME/MUNICIPAL PRINCIPAL | 58308 |
| GARRETT, MARK DAVID | DIRECTOR/CO-CHAIRMAN/TRUSTEE | 5563014 |
| HILDRETH, MICHAEL CHRISTOPHER | EVP/CFO/FINOP/PRESIDENT/CEO/DIRECTOR | 2386839 |
| JOYCE, DANIEL MICHAEL | DIRECTOR | 1060819 |
| KELLIHER, KATHERINE ROSE | SVP & CHIEF COMPLIANCE OFFICER | 4146307 |
Regulatory assets under management
| Total Number of Accounts | 5,074 |
| AUM (Assets Under Management) | $ 3,437,764,388 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 4 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 01/23/2025 | ||
| 12/04/2023 | ||
| 01/12/2023 |
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.
