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SS

Scott W. Short

Some features on this profile are disabled
CRD#: 2619988
SS

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 Wood Short was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 1996. Scott had worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 4, 2015 - November 1, 2016

AXXCESS WEALTH MANAGEMENT, LLC

RIA
CRD#: 164081
CARLSBAD, CA
Past

January 6, 2015 - October 12, 2015

ARETE WEALTH MANAGEMENT, LLC

BD
CRD#: 44856
CHICAGO, IL
Past

July 12, 2011 - November 12, 2012

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
SAN DIEGO, CA
Past

July 1, 2011 - November 12, 2012

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
SAN DIEGO, CA
Past

June 1, 2009 - December 3, 2010

MORGAN STANLEY

RIA
CRD#: 149777
LA JOLLA, CA
Past

June 1, 2009 - December 3, 2010

MORGAN STANLEY

BD
CRD#: 149777
LA JOLLA, CA
Past

August 5, 2005 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
SAN DIEGO, CA
Past

August 5, 2005 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
SAN DIEGO, CA
Past

September 20, 2000 - August 18, 2005

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
LA JOLLA, CA
Past

September 15, 2000 - August 18, 2005

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

October 19, 1998 - September 29, 2000

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

November 19, 1996 - October 20, 1998

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

September 25, 1996 - October 9, 1996

CHATFIELD DEAN & CO., INC.

BD
CRD#: 14714
GREENWOOD VILLAGE, CO

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".
AW
AXXCESS WEALTH MANAGEMENT, LLC
ALTA PRIVATE WEALTH | WILLIAMSON LEGACY GROUP | VANDALIA WEALTH MANAGEMENT | THE ZANDBERGEN GROUP | SILVERSTONE PRIVATE WEALTH | SEWALSON MILAZZO FINANCIAL CONSULTING GROUP | SENTRY PACIFIC FINANCIAL GROUP | ROUTE 20 PRIVATE WEALTH | PROVIDENCE WEALTH MANAGEMENT | PATHFINDER WEALTH ADVISORS | PATHFINDER | OUTWING PRIVATE WEALTH MANAGEMENT | OSPREY CAPITAL PARTNERS LLC | OPTIMIZED WEALTH STRATEGIES | MK CAPITAL ADVISORS, LLC | MAGNOLIA CAPITAL MANAGEMENT | MADDIX WEALTH MANAGEMENT | LIFETIME WEALTH SOLUTIONS | LA WEALTH ADVISORS | JENNIFER P. EASLEY, CFP | INVESTATE WEALTH MANAGEMENT | E AND E FINANCIAL | DONAHUGH WEALTH | COLLIER SUSTAINABLE WEALTH MANAGEMENT | AXXCESS WEALTH MANAGEMENT, LLC | ASSET PRESERVATION STRATEGIES | ASCENDANT CAPITAL MANAGEMENT, LLC | AMBROSINI WEALTH

CRD#: 164081 / SEC#: 801-76763

RIA
Registered Investment Advisory firm - (6/6/2012 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/5/2015
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/13/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/3/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/12/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 8/15/2000
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/24/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/4/2011
General Securities Principal Examination

Current Firm

AW
AXXCESS WEALTH MANAGEMENT, LLC
ALTA PRIVATE WEALTH | WILLIAMSON LEGACY GROUP | VANDALIA WEALTH MANAGEMENT | THE ZANDBERGEN GROUP | SILVERSTONE PRIVATE WEALTH | SEWALSON MILAZZO FINANCIAL CONSULTING GROUP | SENTRY PACIFIC FINANCIAL GROUP | ROUTE 20 PRIVATE WEALTH | PROVIDENCE WEALTH MANAGEMENT | PATHFINDER WEALTH ADVISORS | PATHFINDER | OUTWING PRIVATE WEALTH MANAGEMENT | OSPREY CAPITAL PARTNERS LLC | OPTIMIZED WEALTH STRATEGIES | MK CAPITAL ADVISORS, LLC | MAGNOLIA CAPITAL MANAGEMENT | MADDIX WEALTH MANAGEMENT | LIFETIME WEALTH SOLUTIONS | LA WEALTH ADVISORS | JENNIFER P. EASLEY, CFP | INVESTATE WEALTH MANAGEMENT | E AND E FINANCIAL | DONAHUGH WEALTH | COLLIER SUSTAINABLE WEALTH MANAGEMENT | AXXCESS WEALTH MANAGEMENT, LLC | ASSET PRESERVATION STRATEGIES | ASCENDANT CAPITAL MANAGEMENT, LLC | AMBROSINI WEALTH

CRD#: 164081 / SEC#: 801-76763

RIA
Registered Investment Advisory firm - (6/6/2012 Approved)
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Contact information

Main Address
6005 Hidden Valley Road Suite 290, Carlsbad, CA 92011
Mailing Address
Phone number
(858) 217-5347
Established
Firm type
Fiscal year end
# of Employees
86

SEC notice filing (41 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

AWM DISCLOSURE BROCHURE AND PRIVACY POLICY (4/21/2025)

Regulatory assets under management

Total Number of Accounts22,242
AUM (Assets Under Management)$ 6,329,396,180

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.

Company Information

AXXCESS WEALTH MANAGEMENT, LLC

CRD#: 164081

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