Scott P. Schubert
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Scott Paul Schubert was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1994. Scott had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2021 - March 31, 2023
LAUREL WEALTH ADVISORS, INC.
September 6, 2017 - November 15, 2022
PURSHE KAPLAN STERLING INVESTMENTS
June 9, 2017 - July 12, 2017
SPS PRIVATE WEALTH MANAGEMENT, LLC
June 7, 2017 - December 31, 2020
LAUREL WEALTH ADVISORS, INC.
December 15, 1997 - May 25, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
February 23, 1995 - July 3, 2006
IDS LIFE INSURANCE COMPANY
February 23, 1995 - May 25, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
October 20, 1994 - February 3, 1995
MUTUAL SERVICE CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LAUREL WEALTH ADVISORS, INC.
CRD#: 157139 / SEC#: 801-72334
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,198 |
| AUM (Assets Under Management) | $ 2,383,239,170 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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