Scott E. Halliwell
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Scott Edward Halliwell, CFP® was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1993. Scott had worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2014 - June 27, 2014
USAA FINANCIAL ADVISORS, INC.
February 6, 2014 - April 6, 2015
USAA FINANCIAL PLANNING SERVICES
February 19, 2009 - March 23, 2012
USAA FINANCIAL PLANNING SERVICES
February 12, 2009 - March 23, 2012
USAA FINANCIAL ADVISORS, INC.
March 20, 2006 - January 29, 2009
CHARLES SCHWAB & CO., INC.
March 20, 2006 - January 29, 2009
CHARLES SCHWAB & CO., INC.
May 2, 2003 - March 16, 2006
CITIZENS SECURITIES, INC.
April 24, 2003 - March 16, 2006
CITIZENS SECURITIES, INC.
June 16, 2001 - April 7, 2003
PNC CAPITAL MARKETS LLC
March 23, 2001 - June 16, 2001
J.J.B. HILLIARD, W.L. LYONS, LLC
April 14, 1999 - December 13, 2000
IDS LIFE INSURANCE COMPANY
April 14, 1999 - December 13, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
December 16, 1997 - November 5, 1998
VESTAX SECURITIES CORPORATION
April 15, 1993 - October 31, 1997
IDS LIFE INSURANCE COMPANY
April 15, 1993 - October 31, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
USAA FINANCIAL ADVISORS, INC.
CRD#: 129035 / SEC#: , 8-66197
Contact information
Documents
Red Flags
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