SW
Scott C. Winters
FINANCIAL GRAVITY FAMILY OFFICE SERVICES
The Hills, TX
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CRD#: 2598188
SW
Professional summary
Scott Christopher Winters, who also goes by Scott Winters, is a registered financial advisor currently at FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC located in The Hills, Texas.
Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Scott has worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Scott Winters
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.
Good To Growing a non-investment related company as the CEO creating the strategic view of the company. Located at 59 TreeHaven Court, Austin, TX.78738. Dedicating 40 hours per month, 10 hours during trading hours. Scott Winters is an Investment Advisor Representative of Financial Gravity Family Office Services, Inc. ("Advisor") and is also an owner of Financial Gravity Companies, Inc. ("FGCO"), the parent company of the Advisor and Financial Gravity Asset Management, Inc. ("FGAM") and Financial Gravity Enhanced Markets, LLC ("FGEM") offer partner programs, tax planning, wealth and risk management, and business consulting solutions, as well as financial advisory services. FGCO serves customers in the United States. FGCO is the parent company of Financial Gravity Asset Management, Inc. ("FGAM") a turnkey asset management program ("TAMP") that some clients of the Advisor will be referred to for management of the assets in the portfolio. This presents a conflict of interest. A conflict of interest exists because the owners of the Advisor are also the owners of FGCO. As such, he will receive compensation from both entities for the services provided to clients. Therefore, there is an advantage for the Advisor to refer clients to FG Asset Management for the additional compensation he will receive. Clients of the Advisors always have the right to accept or refuse the recommendation of the Advisor. In recommending an investment advisor to clients, the Investment Advisor Representatives of the Advisor will always act in the client's best interest under his fiduciary duty. Scott Winters is the CEO and board member for Financial Gravity Companies, a publicly traded financial services company since July 2019. He spends approximately 100 hours/month on this activity. Financial Gravity Enhanced Markets, LLC, an investment related company as an Independent Agent since 09/09/2021. located at 2501 Ranch Road S 620, Suite 110 Austin, TX 78734. Licensed and registered to sell life, accident, and other lines of insurance for Financial Gravity Enhanced Markets, LLC. dedicating approximately 5% of his time on insurance-related activities. Conflict of interest due to additional compensation on these products.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Christopher Winters'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®
NoneExperience
Current
September 10, 2021 - Present
FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC
Office #2: 2501 Ranch Road 620 S Ste 110, Lakeway, TX 78734RIA
CRD#: 316024
The Hills, TX
Past
December 19, 2018 - September 21, 2021
FORTA FINANCIAL GROUP, INC.
RIA
CRD#: 28784
Austin, TX
Past
February 7, 2018 - September 21, 2021
FORTA FINANCIAL GROUP, INC.
BD
CRD#: 28784
Austin, TX
Past
May 13, 2003 - August 1, 2006
FREEDOM INVESTMENT MANAGEMENT, INC.
RIA
CRD#: 126052
OAKBROOK TERRACE, IL
Past
July 15, 1999 - May 1, 2000
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
December 15, 1995 - July 19, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
April 3, 1995 - October 31, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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".
FG
FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC
FINANCIAL GRAVITY FAMILY OFFICE SERVICES, INC. | FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC
CRD#: 316024 / SEC#: 801-122258
RIA
Registered Investment Advisory firm - (9/9/2021 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
Colorado(9/10/2021)
IAR
Texas(9/10/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
FG
FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC
FINANCIAL GRAVITY FAMILY OFFICE SERVICES, INC. | FINANCIAL GRAVITY FAMILY OFFICE SERVICES, LLC
CRD#: 316024 / SEC#: 801-122258
RIA
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Contact information
Main Address
2501 Ranch Road 620 S Ste 110, Lakeway, TX 78734
Mailing Address
Phone number
(800) 588-3893
Established
Firm type
Fiscal year end
# of Employees
45
SEC notice filing (29 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,745 |
| AUM (Assets Under Management) | $ 467,196,918 |
Red Flags
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