Scott A. Dornbusch

DORNBUSCH ASSET MANAGEMENT

Faribault, MN

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CRD#: 2379981

Professional summary

Scott Allen Dornbusch, who also goes by Scott A Dornbusch, is a registered financial advisor currently at DORNBUSCH ASSET MANAGEMENT located in Faribault, Minnesota.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Scott has worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Scott A Dornbusch

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.

OWNER OF NEIL DORNBUSCH & ASSOCIATES. AN INDUSTRIAL PUMP DISTRIBUTOR IN NEW PRAGUE, MN, SERVING THE FOOD PROCESSING INDUSTRY. THIS IS A NON-INVESTMENT RELATED BUSINESS. PURCHASED COMPANY JAN 1, 2013. I DEVOTE 75% OF MY TIME TO NDA DURING TRADING AND NON-TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Allen Dornbusch'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®

None

Experience

Current

January 31, 2014 - Present

DORNBUSCH ASSET MANAGEMENT

RIA

CRD#: 113595

Faribault, MN

Past

January 1, 1999 - December 7, 2011

DORNBUSCH ASSET MANAGEMENT

RIA

CRD#: 113595

FARIBAULT, MN

Past

May 25, 1995 - June 23, 1997

JAMES WHEELER & CO. INVESTMENTS, INC.

CRD#: 38157

DENVER, CO

Past

September 20, 1994 - April 10, 1995

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAINT PAUL, MN

Past

August 16, 1993 - September 27, 1994

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

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.

Highlighted states indicate IAR registrations

IAR

Minnesota
(1/31/2014)

IAR

South Dakota
(8/4/2025)

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

State Security Law Exam

IAR

Series 65

Date: 5/22/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/27/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/13/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 6/5/1996

Financial and Operations Principal Examination

Current Firm

DORNBUSCH ASSET MANAGEMENT

CRD#: 113595 / SEC#:

Colorado

Registered Investment Advisory firm - (12/8/2011 Terminated)

Minnesota

Registered Investment Advisory firm - (6/20/2001 Approved)

South Dakota

Registered Investment Advisory firm - (8/1/2025 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Faribault, MN

Mailing Address

Phone number

(612) 756-0663

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	85
AUM (Assets Under Management)	$ 2,382,321

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.

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Scott A. Dornbusch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Allen Dornbusch's CRS (Customer Relationship Summary).

Certified licenses

Experience

DORNBUSCH ASSET MANAGEMENT

DORNBUSCH ASSET MANAGEMENT

JAMES WHEELER & CO. INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

AMERIPRISE ADVISOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/22/2001

Series 63

Date: 8/27/1993

Series 7

Date: 8/13/1993

Series 27

Date: 6/5/1996

Current Firm

DORNBUSCH ASSET MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DORNBUSCH ASSET MANAGEMENT

TRUST BUT VERIFY

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