Scott R. Watts

ARLINGTON SECURITIES

ST. LOUIS, MO 63146-2236

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CRD#: 2523718

Professional summary

Scott Randall Watts, who also goes by Scott R Watts, is a registered financial advisor currently at ARLINGTON SECURITIES, INC. located in St. Louis, Missouri.

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 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Scott R Watts

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. INSURANCE AGENT, WATTS FINANCIAL GROUP, INC 2. TAX SERVICE NON INVESTMENT RELATED, WATTS FINANCIAL GROUP, INC

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Randall Watts's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Scott Randall Watts'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

July 11, 2006 - Present

ARLINGTON SECURITIES, INC.

Office #1: 140 Marine Lane, St. Louis, MO 63146-2236Office #2: 13761 St. Charles Rock Rd. Ste 109, Bridgeton, MO 63044

RIA

CRD#: 19596

ST. LOUIS, MO

Current

July 29, 2002 - Present

ARLINGTON SECURITIES, INC.

Office #1: 13761 St. Charles Rock Rd. Ste 109, Bridgeton, MO 63044

RIA

CRD#: 19596

Bridgeton, MO

Past

November 19, 1999 - July 30, 2002

CENTAURUS FINANCIAL, INC.

CRD#: 30833

ANAHEIM, CA

Past

April 2, 1998 - November 23, 1999

SUNSET FINANCIAL SERVICES, INC.

CRD#: 3538

KANSAS CITY, MO

Past

October 31, 1996 - December 23, 1996

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

May 5, 1995 - April 16, 1996

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

September 14, 1994 - May 8, 1995

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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.

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

Missouri
(7/29/2002)

IAR

Missouri
(7/11/2006)

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

State Security Law Exam

IAR

Series 65

Date: 7/7/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/20/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/13/1994

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ARLINGTON SECURITIES, INC.

ARLINGTON SECURITIES | FORT DEARBORN INVESTMENT CORP. | ARLINGTON SECURITIES, INCORPORATED | ARLINGTON SECURITIES, INC.

CRD#: 19596 / SEC#: 801-66316, 8-38098

RIA

Registered Investment Advisory firm - SEC (5/14/2007 Terminated)

Missouri

Registered Investment Advisory firm - SEC (5/4/1990 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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

140 Marine Lane, St Louis, MO 63146-2236

Mailing Address

140 Marine Lane, St. Louis, MO 63146-2236

Phone number

(314) 878-1954

Established

Missouri since 04/28/1997

Firm type

Corporation

Fiscal year end

October

Firm Size

Small

# of Employees

FINRA licenses (40 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
HILLARD, ROBERT EARL	CEO, CFO	1005606
CULLEN, SUSAN MARIE	VICE PRESIDENT, CCO-BD	2015668
WINGENBACH, TIMOTHY SCOTT	PRESIDENT, COO, CCO-IA	5007031

Regulatory assets under management

Total Number of Accounts	257
AUM (Assets Under Management)	$ 77,254,990

Disclosures

Regulatory Event

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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Advisor Monitoring

Firm Stability Insights

Scott R. Watts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Randall Watts's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Scott Randall Watts's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARLINGTON SECURITIES, INC.

CENTAURUS FINANCIAL, INC.

SUNSET FINANCIAL SERVICES, INC.

WALNUT STREET SECURITIES, INC.

CETERA WEALTH SERVICES, LLC

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/7/2006

Series 63

Date: 9/20/1994

SIE

Date: 10/1/2018

Series 6

Date: 9/13/1994

FINRA

Current Firm

ARLINGTON SECURITIES, INC.

Contact information

FINRA licenses (40 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

ARLINGTON SECURITIES, INC.

TRUST BUT VERIFY

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