William S. Thomas

ASCENSION WEALTH ADVISORS

Mt. Pleasant, SC 29464

Some features on this profile are disabled

CRD#: 2543210

Professional summary

William Scott Thomas, who also goes by Scott Thomas, is a registered financial advisor currently at ASCENSION WEALTH ADVISORS, LLC located in Mt. Pleasant, South Carolina.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. William has worked at 14 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Scott Thomas

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 William Scott Thomas'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

August 9, 2010 - Present

ASCENSION WEALTH ADVISORS, LLC

Office #1: 1671 Belle Isle Ave Suite 110v, Mt. Pleasant, SC 29464

RIA

CRD#: 153802

Mt. Pleasant, SC

Past

June 15, 2007 - November 3, 2008

OMNI BROKERAGE, INC.

CRD#: 16878

BRENTWOOD, TN

Past

August 12, 2005 - December 17, 2010

FRONTIER FINANCIAL PARTNERS, LLC

RIA

CRD#: 136465

NASHVILLE, TN

Past

January 30, 2004 - August 31, 2005

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

NASHVILLE, TN

Past

May 16, 2003 - August 31, 2005

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

HOUSTON, TX

Past

September 24, 2002 - May 28, 2003

CANTELLA & CO., INC.

CRD#: 13905

MALDEN, MA

Past

March 7, 2001 - September 10, 2002

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Past

June 27, 2000 - March 12, 2001

USALLIANZ SECURITIES, INC.

CRD#: 40875

MINNEAPOLIS, MN

Past

January 26, 2000 - May 31, 2000

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

December 15, 1998 - October 25, 1999

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

April 15, 1998 - November 5, 1998

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

April 15, 1998 - November 5, 1998

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

May 16, 1997 - March 20, 1998

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. PAUL, MN

Past

June 21, 1995 - May 7, 1997

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

May 31, 1995 - June 16, 1995

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

May 31, 1995 - June 16, 1995

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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

South Carolina
(3/17/2020)

IAR

Tennessee
(8/9/2010)

IAR

Texas
(5/3/2013)

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: 4/27/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/17/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/15/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/30/1995

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ASCENSION WEALTH ADVISORS, LLC

ASCENSION WEALTH ADVISORS, LLC | THOMAS, WILLIAM SCOTT

CRD#: 153802 / SEC#:

South Carolina

Registered Investment Advisory firm - (3/17/2020 Approved)

Tennessee

Registered Investment Advisory firm - (8/6/2010 Approved)

Texas

Registered Investment Advisory firm - (5/3/2013 Conditional Restricted)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1671 Belle Isle Ave Suite 110v, Mt. Pleasant, SC 29464

Mailing Address

Phone number

(615) 584-8326

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	124
AUM (Assets Under Management)	$ 26,100,000

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.

Similar Advisors

Jackson Tiller

NYLIFE SECURITIES LLC

CHARLESTON, SC

Roger Johnson

ACT ADVISORS

IAR

Mt. Pleasant, SC

Jeremy Ellisor

CONVERGENT FINANCIAL GROUP

IAR

Mount Pleasant, SC

We're Here To Help

Advisor Monitoring

Firm Stability Insights

William S. Thomas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Scott Thomas's CRS (Customer Relationship Summary).

Certified licenses

Experience

OMNI BROKERAGE, INC.

FRONTIER FINANCIAL PARTNERS, LLC

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

CANTELLA & CO., INC.

AMERIPRISE ADVISOR SERVICES, INC.

USALLIANZ SECURITIES, INC.

EQUITABLE ADVISORS, LLC

NYLIFE SECURITIES LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

SECURIAN FINANCIAL SERVICES, INC.

PRUCO SECURITIES, LLC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/27/2000

Series 63

Date: 6/17/1997

Series 7

Date: 3/15/2000

Series 6

Date: 5/30/1995

Current Firm

ASCENSION WEALTH ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ASCENSION WEALTH ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors