SL
Scott J. Lord
WEALTHSHIELD PARTNERS
Raleigh, NC 27607
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CRD#: 2514101
SL
Professional summary
Scott Joseph Lord, CFP® is a registered financial advisor currently at WEALTHSHIELD PARTNERS, LLC located in Raleigh, North Carolina and KINGSWOOD CAPITAL PARTNERS, LLC located in Raleigh, North Carolina.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Scott has worked at 9 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) EMERALD INVESTMENT PARTNERS; INVESTMENT RELATED; START 5/2017; INVESTMENT ADVISOR REP; 180 HRS/MONTH; 160 HRS/MONTH DURING TRADING (2) MADISON OAKS WEALTH PARTNERS; INVESTMENT RELATED; START 5/2017; DBA FOR ADVISORY SERVICES AND SECURITIES BUSINESS; 180 HRS/MONTH; 160HRS/MONTH DURING TRADING (3) KINGSWOOD CAPITAL PARTNERS; INVESTMENT RELATED; 11440 W. BERNARDO CT. STE. 300, SAN DIEGO, CA 92127; REGISTEREREPRESENTATIVE; 5/2017; 8 HRS/MONTH; 8 HRS/MONTH; OFFERS SECURITIES AND RECEIVES NORMAL COMMISSIONS AS A RESULT OF SECURITIES TRANSACTIONS(4) VARIOUS INSURANCE COMPANIES - GP AGENCY; INVESTMENT RELATED; 7000 SIX FORKS RD, RALEIGH NC 27615; LICENSED REPRESENTATIVE; 5/2017; 4HRS/MONTH; 4 HRS/MONTH; OFFERS INSURANCE AND RECEIVES COMMISSIONS AS A RESULT OF INSURANCE TRANSACTIONS (2) Wealthshield Partners,Is Investment Related,"2500 Regency Parkway, , Cary, NC, 27518, United States",Investments,IAR,7/1/2020,160 hours per month,8 hours per month during trading hours,Fee Based Compensation,Manage investments for clients.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Joseph Lord'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®
CFP®
Start date: 2012
Experience
Current
May 10, 2017 - Present
WEALTHSHIELD PARTNERS, LLC
Office #1: 1511 Sunday Drive Suite 214, Raleigh, NC 27607RIA
CRD#: 169584
Raleigh, NC
Current
June 15, 2018 - Present
KINGSWOOD CAPITAL PARTNERS, LLC
Office #1: 1511 Sunday Drive Suite 214, Raleigh, NC 27607BD
CRD#: 288898
RALEIGH, NC
Past
May 10, 2017 - June 15, 2018
SGMA CAPITAL MARKETS LIMITED
BD
CRD#: 135327
RALEIGH, NC
Past
January 4, 2011 - May 10, 2017
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
Raleigh, NC
Past
December 21, 2010 - May 10, 2017
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
Raleigh, NC
Past
September 21, 2009 - December 22, 2010
NEW ENGLAND SECURITIES
RIA
CRD#: 615
RALEIGH, NC
Past
September 4, 2009 - December 22, 2010
NEW ENGLAND SECURITIES
BD
CRD#: 615
RALEIGH, NC
Past
July 28, 2008 - September 10, 2009
THE BENCHMARK COMPANY, LLC
BD
CRD#: 22982
NEW YORK, NY
Past
January 14, 2008 - June 6, 2008
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
June 22, 1995 - January 14, 2008
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
April 5, 1995 - April 21, 1995
WEATHERLY SECURITIES CORPORATION
BD
CRD#: 11081
NEW YORK, NY
Past
October 7, 1994 - March 15, 1995
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
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".
WP
WEALTHSHIELD PARTNERS, LLC
CARILLON ADVISORS | XARTIS WEALTH ADVISORY GROUP | WEALTHSHIELD PARTNERS, LLC | WEALTHSHIELD PARTNERS | WEALTHSHIELD | WEALTH MANAGEMENT RESOURCES | WEALTH & FINANCIAL ADVOCATES GROUP, LLC | TINKER CAPITAL | ORG PARTNERS ADVISOR GROUP | ORG PARTNERS | ORG PAG | ORBIS WEALTH | MAINE ADVISORS | MADISON OAKS WEALTH PARTNERS | HICKS & ASSOCIATES WEALTH MANAGEMENT | HARBORVIEW INVESTMENTS | HARBORVIEW ADVISORS | GOLDEN PINE ADVISORY | EVERGREEN FINANCIAL SERVICES | EMERALD INVESTMENT PARTNERS, LLC | EMERALD ASSET MANAGEMENT, INC. | CONSTANCE WEALTH ADVISORS | CONSTANCE WEALTH | CENTURY WEALTH ADVISORS | CENTERPOINT FINANCIAL GROUP
CRD#: 169584 / SEC#: 801-78937
RIA
Registered Investment Advisory firm - (12/17/2013 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.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
Florida(4/17/2023)
RR
New Jersey(6/15/2018)
RR
New York(6/15/2018)
IAR
North Carolina(5/10/2017)
RR
North Carolina(6/15/2018)
RR
Virginia(6/15/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 1/11/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WP
WEALTHSHIELD PARTNERS, LLC
CARILLON ADVISORS | XARTIS WEALTH ADVISORY GROUP | WEALTHSHIELD PARTNERS, LLC | WEALTHSHIELD PARTNERS | WEALTHSHIELD | WEALTH MANAGEMENT RESOURCES | WEALTH & FINANCIAL ADVOCATES GROUP, LLC | TINKER CAPITAL | ORG PARTNERS ADVISOR GROUP | ORG PARTNERS | ORG PAG | ORBIS WEALTH | MAINE ADVISORS | MADISON OAKS WEALTH PARTNERS | HICKS & ASSOCIATES WEALTH MANAGEMENT | HARBORVIEW INVESTMENTS | HARBORVIEW ADVISORS | GOLDEN PINE ADVISORY | EVERGREEN FINANCIAL SERVICES | EMERALD INVESTMENT PARTNERS, LLC | EMERALD ASSET MANAGEMENT, INC. | CONSTANCE WEALTH ADVISORS | CONSTANCE WEALTH | CENTURY WEALTH ADVISORS | CENTERPOINT FINANCIAL GROUP
CRD#: 169584 / SEC#: 801-78937
RIA
Registered Investment Advisory firm - (12/17/2013 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2500 Regency Parkway, Cary, NC 27518
Mailing Address
Phone number
(919) 948-4453
Established
Firm type
Fiscal year end
# of Employees
24
SEC notice filing (20 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,596 |
| AUM (Assets Under Management) | $ 1,080,417,121 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
WEALTHSHIELD PARTNERS, LLC
CRD#: 169584Raleigh, NC 27607TRUST BUT VERIFY
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