SB
Scott K. Branson
REGAL ADVISORY SERVICES
KNOXVILLE, TN
Some features on this profile are disabled
CRD#: 2251962
SB
Professional summary
Scott Kendall Branson, who also goes by Scott K Branson, is a registered financial advisor currently at REGAL ADVISORY SERVICES, INC. located in Knoxville, Tennessee and REGAL SECURITIES, INC. located in Knoxville, Tennessee.
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 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Scott K Branson
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.S & S FINANCIAL SERVICES, NOT INVESTMENT RELATED, 10262 CASTLEBRIDGE COURT, KNOXVILLE, TN 37922, TAX'S, TAX PREPARATION, 35431, 5 TO 10 HOURS A MONTH, 5 TO 10 DURING TRADING HOURS, PREPARE TAX RETURNS 2. TMB Family Partnership Nature of Business: Real Estate - Commercial Leasing Address: 4633 Marshall Dr., Knoxville, TN 37918 Position: Partner Role: Prepare tax returns Start Date: 1/2023 Investment related: No Hrs per month: 2 Hrs during market: none
CRS (Client Relationship Summary) - RIA
Click below to view Scott Kendall Branson'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
August 16, 2012 - Present
REGAL ADVISORY SERVICES, INC.
RIA
CRD#: 123842
KNOXVILLE, TN
Current
August 10, 2012 - Present
REGAL SECURITIES, INC.
Office #1: 10262 Castlebridge Court, Knoxville, TN 37922BD
CRD#: 7297
Knoxville, TN
Past
May 22, 2008 - August 13, 2012
BROKERSXPRESS LLC
RIA
CRD#: 127081
KNOXVILLE, TN
Past
May 19, 2008 - August 13, 2012
BROKERSXPRESS LLC
BD
CRD#: 127081
KNOXVILLE, TN
Past
April 18, 2008 - May 19, 2008
SSN ADVISORY, INC.
RIA
CRD#: 126090
KNOXVILLE, TN
Past
April 10, 2008 - May 19, 2008
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
KNOXVILLE, TN
Past
December 12, 2007 - April 9, 2008
1ST DISCOUNT BROKERAGE, INC.
RIA
CRD#: 39164
KNOXVILLE, TN
Past
August 21, 2002 - April 9, 2008
1ST DISCOUNT BROKERAGE, INC.
BD
CRD#: 39164
KNOXVILLE, TN
Past
December 4, 1997 - August 21, 2002
ACUMENT SECURITIES, INC.
BD
CRD#: 7661
SAN FRANCISCO, CA
Past
January 14, 1995 - December 11, 1997
QUEST CAPITAL STRATEGIES, INC.
BD
CRD#: 16783
LAGUNA HILLS, CA
Past
July 9, 1992 - December 2, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
July 9, 1992 - December 2, 1994
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
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".
RA
REGAL ADVISORY SERVICES, INC.
REGAL ADVISORY SERVICES, INC.
CRD#: 123842 / SEC#: 801-71619
RIA
Registered Investment Advisory firm - (7/12/2010 Approved)Arizona
Registered Investment Advisory firm - (8/14/2012 Terminated)Arkansas
Registered Investment Advisory firm - (8/14/2012 Terminated)Colorado
Registered Investment Advisory firm - (8/2/2010 Terminated)Connecticut
Registered Investment Advisory firm - (7/13/2010 Terminated)Delaware
Registered Investment Advisory firm - (7/13/2010 Terminated)Florida
Registered Investment Advisory firm - (8/14/2012 Terminated)Georgia
Registered Investment Advisory firm - (9/24/2010 Terminated)Hawaii
Registered Investment Advisory firm - (12/31/2010 Terminated)Idaho
Registered Investment Advisory firm - (7/14/2010 Terminated)Illinois
Registered Investment Advisory firm - (8/14/2012 Terminated)Indiana
Registered Investment Advisory firm - (7/13/2010 Terminated)Iowa
Registered Investment Advisory firm - (7/13/2010 Terminated)Kansas
Registered Investment Advisory firm - (8/14/2012 Terminated)Kentucky
Registered Investment Advisory firm - (7/13/2010 Terminated)Louisiana
Registered Investment Advisory firm - (7/21/2010 Terminated)Massachusetts
Registered Investment Advisory firm - (8/3/2010 Terminated)Minnesota
Registered Investment Advisory firm - (7/14/2010 Terminated)Mississippi
Registered Investment Advisory firm - (8/14/2012 Terminated)Missouri
Registered Investment Advisory firm - (7/13/2010 Terminated)Nebraska
Registered Investment Advisory firm - (7/14/2010 Terminated)Nevada
Registered Investment Advisory firm - (9/20/2012 Terminated)New Hampshire
Registered Investment Advisory firm - (7/13/2010 Terminated)New Jersey
Registered Investment Advisory firm - (9/21/2012 Terminated)New Mexico
Registered Investment Advisory firm - (7/13/2010 Terminated)North Carolina
Registered Investment Advisory firm - (7/13/2010 Terminated)Ohio
Registered Investment Advisory firm - (7/13/2010 Terminated)Oklahoma
Registered Investment Advisory firm - (8/14/2012 Terminated)Oregon
Registered Investment Advisory firm - (7/15/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/14/2010 Terminated)South Carolina
Registered Investment Advisory firm - (7/13/2010 Terminated)Tennessee
Registered Investment Advisory firm - (8/12/2010 Terminated)Texas
Registered Investment Advisory firm - (8/14/2012 Terminated)Utah
Registered Investment Advisory firm - (8/12/2010 Terminated)Vermont
Registered Investment Advisory firm - (8/14/2012 Terminated)Virginia
Registered Investment Advisory firm - (7/13/2010 Terminated)Washington
Registered Investment Advisory firm - (7/16/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (7/13/2010 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
Alabama(1/19/2016)
RR
Colorado(1/3/2020)
RR
Florida(8/11/2021)
RR
Georgia(10/1/2021)
RR
Illinois(8/10/2012)
RR
Kentucky(1/24/2017)
RR
South Carolina(2/10/2022)
RR
Tennessee(8/10/2012)
IAR
Tennessee(8/16/2012)
RR
Texas(8/10/2012)
IAR
Texas(8/8/2017)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 8
Date: 1/20/1997
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
RA
REGAL ADVISORY SERVICES, INC.
REGAL ADVISORY SERVICES, INC.
CRD#: 123842 / SEC#: 801-71619
RIA
Registered Investment Advisory firm - (7/12/2010 Approved)Arizona
Registered Investment Advisory firm - (8/14/2012 Terminated)Arkansas
Registered Investment Advisory firm - (8/14/2012 Terminated)Colorado
Registered Investment Advisory firm - (8/2/2010 Terminated)Connecticut
Registered Investment Advisory firm - (7/13/2010 Terminated)Delaware
Registered Investment Advisory firm - (7/13/2010 Terminated)Florida
Registered Investment Advisory firm - (8/14/2012 Terminated)Georgia
Registered Investment Advisory firm - (9/24/2010 Terminated)Hawaii
Registered Investment Advisory firm - (12/31/2010 Terminated)Idaho
Registered Investment Advisory firm - (7/14/2010 Terminated)Illinois
Registered Investment Advisory firm - (8/14/2012 Terminated)Indiana
Registered Investment Advisory firm - (7/13/2010 Terminated)Iowa
Registered Investment Advisory firm - (7/13/2010 Terminated)Kansas
Registered Investment Advisory firm - (8/14/2012 Terminated)Kentucky
Registered Investment Advisory firm - (7/13/2010 Terminated)Louisiana
Registered Investment Advisory firm - (7/21/2010 Terminated)Massachusetts
Registered Investment Advisory firm - (8/3/2010 Terminated)Minnesota
Registered Investment Advisory firm - (7/14/2010 Terminated)Mississippi
Registered Investment Advisory firm - (8/14/2012 Terminated)Missouri
Registered Investment Advisory firm - (7/13/2010 Terminated)Nebraska
Registered Investment Advisory firm - (7/14/2010 Terminated)Nevada
Registered Investment Advisory firm - (9/20/2012 Terminated)New Hampshire
Registered Investment Advisory firm - (7/13/2010 Terminated)New Jersey
Registered Investment Advisory firm - (9/21/2012 Terminated)New Mexico
Registered Investment Advisory firm - (7/13/2010 Terminated)North Carolina
Registered Investment Advisory firm - (7/13/2010 Terminated)Ohio
Registered Investment Advisory firm - (7/13/2010 Terminated)Oklahoma
Registered Investment Advisory firm - (8/14/2012 Terminated)Oregon
Registered Investment Advisory firm - (7/15/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/14/2010 Terminated)South Carolina
Registered Investment Advisory firm - (7/13/2010 Terminated)Tennessee
Registered Investment Advisory firm - (8/12/2010 Terminated)Texas
Registered Investment Advisory firm - (8/14/2012 Terminated)Utah
Registered Investment Advisory firm - (8/12/2010 Terminated)Vermont
Registered Investment Advisory firm - (8/14/2012 Terminated)Virginia
Registered Investment Advisory firm - (7/13/2010 Terminated)Washington
Registered Investment Advisory firm - (7/16/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (7/13/2010 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
950 North Milwaukee Avenue Suite 101, Glenview, IL 60025-3771
Mailing Address
Phone number
(877) 488-6537
Established
Firm type
Fiscal year end
# of Employees
24
SEC notice filing (15 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 289 |
| AUM (Assets Under Management) | $ 113,536,443 |
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.
