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Scott E. Brockman

FARTHER
Natick, MA
Some features on this profile are disabled
CRD#: 2450188
SB

Professional summary

Scott Eric Brockman, who also goes by Scott E Brockman, Scott Eric Brockman, Scott Brockman, is a registered financial advisor currently at FARTHER located in Natick, Massachusetts.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Scott has worked at 12 firms and has passed the Series 65, Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Scott E Brockman | Scott Eric Brockman | Scott Brockman

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Eric Brockman's CRS (Customer Relationship Summary).
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

December 10, 2025 - Present

FARTHER

RIA
CRD#: 302050
Natick, MA
Past

June 5, 2025 - October 14, 2025

MDRN CAPITAL

RIA
CRD#: 325950
NATICK, MA
Past

November 28, 2011 - May 17, 2012

CHIMERA SECURITIES, LLC

BD
CRD#: 147566
NEW YORK, NY
Past

January 27, 2010 - November 11, 2011

WILLIAM O'NEIL + COMPANY

RIA
CRD#: 152620
BOSTON, MA
Past

July 29, 2009 - February 12, 2010

WILLIAM O'NEIL SECURITIES

RIA
CRD#: 894
BOSTON, MA
Past

July 28, 2009 - February 12, 2010

WILLIAM O'NEIL SECURITIES

BD
CRD#: 894
BOSTON, MA
Past

September 26, 2008 - July 8, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
WELLESLEY HILLS, MA
Past

June 19, 2008 - July 8, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
WELLESLEY HILLS, MA
Past

May 9, 2008 - June 5, 2008

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
BOLINGBROOK, IL
Past

July 1, 2004 - July 15, 2004

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
BOLINGBROOK, IL
Past

April 30, 2002 - September 3, 2002

LIGHTSPEED PROFESSIONAL TRADING LLC

BD
CRD#: 39293
NEW YORK, NY
Past

March 3, 2000 - May 12, 2000

TERRA NOVA FINANCIAL, LLC

BD
CRD#: 37761
NEW YORK, NY
Past

October 12, 1998 - January 8, 1999

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

December 20, 1994 - September 30, 1998

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

March 2, 1994 - November 11, 1994

LEHMAN BROTHERS INC.

BD
CRD#: 7506
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".
FA
FARTHER
BELLINGHAM CAPITAL MANAGEMENT | SIGNALPOINT ASSET MANAGEMENT | PLEASANT STREET WEALTH | ONESOURCE WEALTH MANAGEMENT POWERED BY FARTHER | NORTH SISTER WEALTH | MASSO TORRENCE WEALTH MANAGEMENT INC. | GUILD INVESTMENT MANAGEMENT | FORTRESS WEALTH MANAGEMENT, INC. | FARTHER FINANCE ADVISORS, LLC | FARTHER | CROOKED TREE CAPITAL ADVISORS

CRD#: 302050 / SEC#: 801-116721

RIA
Registered Investment Advisory firm - (7/19/2019 Approved)

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
Massachusetts
(12/10/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/5/2018
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 9/23/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/8/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/15/2024
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/1/1994
General Securities Representative Examination

Current Firm

FA
FARTHER
BELLINGHAM CAPITAL MANAGEMENT | SIGNALPOINT ASSET MANAGEMENT | PLEASANT STREET WEALTH | ONESOURCE WEALTH MANAGEMENT POWERED BY FARTHER | NORTH SISTER WEALTH | MASSO TORRENCE WEALTH MANAGEMENT INC. | GUILD INVESTMENT MANAGEMENT | FORTRESS WEALTH MANAGEMENT, INC. | FARTHER FINANCE ADVISORS, LLC | FARTHER | CROOKED TREE CAPITAL ADVISORS

CRD#: 302050 / SEC#: 801-116721

RIA
Registered Investment Advisory firm - (7/19/2019 Approved)
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Contact information

Main Address
345 California Street Suite 600, San Francisco, CA 94104
Mailing Address
Phone number
(628) 246-8004
Established
Firm type
Fiscal year end
# of Employees
275

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

APPENDIX 1 (8/11/2025)
FORM ADV PART 2A (8/11/2025)

Regulatory assets under management

Total Number of Accounts24,245
AUM (Assets Under Management)$ 7,523,810,877

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.

Company Information

FARTHER

CRD#: 302050Natick, MA

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