Scott Stephen Chaisson
Professional Summary
Scott Stephen Chaisson is a registered financial advisor currently at COMPASS CAPITAL CORPORATION located in Braintree, Massachusetts and COMPASS SECURITIES CORPORATION located in Braintree, Massachusetts. Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Scott has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24, Series 9, Series 14, Series 10, Series 23...
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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Contact Information
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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
33 years in the financial services industry
Current & Past Employments
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Current Firm
CHADWICK & ROTHENBERG GROUP LLC | STRATEGIC PLANNING INC | LICCIARDELLO FINANCIAL SERVICES | COMPASS CAPITAL CORPORATION
Contact Information
Main Address
50 Braintree Hill Office Park Suite 105, Braintree, MA 02184-8734Phone Number
(781) 535-6083# of Employees
13SEC notice filing (11 States and Territories)
Registered to provide investment advisory services in 11 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,318AUM (Assets Under Management)
$695,480,382Similar Advisors
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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.
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Primary Firm SEC Registration
CHADWICK & ROTHENBERG GROUP LLC | STRATEGIC PLANNING INC | LICCIARDELLO FINANCIAL SERVICES | COMPASS CAPITAL CORPORATION
State Registrations and Notice Filings
(11/1/2016)
(11/8/2016)
(7/17/2015)
(8/6/2015)
(9/25/2026)
(11/7/2016)
(11/2/2016)
(11/1/2016)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed May 1993About the Series 6 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Mar 1996SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Scott Stephen Chaisson's CRS (Customer Relationship Summary).
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