Scott E. Schondau

ASCENT CAPITAL PARTNERS

Scottsdale, AZ 85254

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CRD#: 2653700

Professional summary

Scott Eric Schondau is a registered financial advisor currently at ASCENT CAPITAL PARTNERS, LLC located in Scottsdale, Arizona.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Scott has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Scott Eric Schondau'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

April 1, 2024 - Present

ASCENT CAPITAL PARTNERS, LLC

Office #1: 16427 North Scottsdale Road Suite 410, Scottsdale, AZ 85254

RIA

CRD#: 291218

Scottsdale, AZ

Past

September 6, 2016 - December 6, 2016

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

Dallas, TX

Past

June 24, 2015 - September 6, 2016

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

DALLAS, TX

Past

May 29, 2009 - January 15, 2015

GUGGENHEIM SECURITIES, LLC

CRD#: 40638

IRVING, TX

Past

February 7, 2003 - August 27, 2008

J.P. MORGAN SECURITIES LLC

CRD#: 79

DALLAS, TX

Past

February 3, 2003 - February 10, 2003

PENSON FINANCIAL SERVICES, INC.

CRD#: 25866

DALLAS, TX

Past

July 20, 2000 - February 3, 2003

SERVICE ASSET MANAGEMENT COMPANY

CRD#: 47157

AUSTIN, TX

Past

May 14, 1998 - September 1, 2000

PENSON FINANCIAL SERVICES, INC.

CRD#: 25866

DALLAS, TX

Past

January 9, 1996 - February 2, 1998

PRINCIPAL FINANCIAL SECURITIES,INC.

CRD#: 260

DALLAS, TX

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".

ASCENT CAPITAL PARTNERS, LLC

ASCENT CAPITAL PARNTERS, LLC | COMPASS WEALTH PLANNING, LLC | ASCENT PRIVATE CAPITAL, LLC | ASCENT CAPITAL PARTNERS, LLC

CRD#: 291218 / SEC#: 801-134434

RIA

Registered Investment Advisory firm - (9/30/2025 Approved)

Arizona

Registered Investment Advisory firm - (10/10/2025 Terminated)

Texas

Registered Investment Advisory firm - (10/10/2025 Terminated)

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).

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

Texas
(4/1/2024)

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: 2/22/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/17/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/6/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 2/20/2001

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 1/8/1996

General Securities Representative Examination

Current Firm

ASCENT CAPITAL PARTNERS, LLC

ASCENT CAPITAL PARNTERS, LLC | COMPASS WEALTH PLANNING, LLC | ASCENT PRIVATE CAPITAL, LLC | ASCENT CAPITAL PARTNERS, LLC

CRD#: 291218 / SEC#: 801-134434

RIA

Registered Investment Advisory firm - (9/30/2025 Approved)

Arizona

Registered Investment Advisory firm - (10/10/2025 Terminated)

Texas

Registered Investment Advisory firm - (10/10/2025 Terminated)

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Contact information

Main Address

16427 North Scottsdale Road Suite 410, Scottsdale, AZ 85254

Mailing Address

Phone number

(480) 841-6956

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE - ADV PART 2A (8/27/2025)

BROCHURE SUPPLEMENT - JOHN BOYLE (3/31/2025)

BROCHURE SUPPLEMENT - POMEROY (3/31/2025)

BROCHURE SUPPLEMENT - LOEFFLER (3/31/2025)

Regulatory assets under management

Total Number of Accounts	141
AUM (Assets Under Management)	$ 197,007,279

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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Firm Stability Insights

Scott E. Schondau

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Eric Schondau's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES & ASSOCIATES, INC.

DEUTSCHE BANK SECURITIES INC.

GUGGENHEIM SECURITIES, LLC

J.P. MORGAN SECURITIES LLC

PENSON FINANCIAL SERVICES, INC.

SERVICE ASSET MANAGEMENT COMPANY

PENSON FINANCIAL SERVICES, INC.

PRINCIPAL FINANCIAL SECURITIES,INC.

Primary Firm SEC Registration

ASCENT CAPITAL PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/22/2024

Series 63

Date: 1/17/1996

SIE

Date: 12/6/2016

Series 55

Date: 2/20/2001

Series 7

Date: 1/8/1996

Current Firm

ASCENT CAPITAL PARTNERS, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ASCENT CAPITAL PARTNERS, LLC

TRUST BUT VERIFY

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