Scott E. Whitten
Professional summary
Scott Edward Whitten, who also goes by Scott E Whitten, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Grimes, Iowa.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Scott has worked at 12 firms and has passed the Series 66, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 6, Series 26 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Scott Edward Whitten's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Scott Edward Whitten's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 11, 2024 - Present
VOYA FINANCIAL ADVISORS, INC.
June 10, 2024 - Present
VOYA FINANCIAL ADVISORS, INC.
April 16, 2019 - June 30, 2022
BLACKRIDGE ASSET MANAGEMENT, LLC
October 8, 2015 - June 30, 2022
PEAK BROKERAGE SERVICES, LLC
January 9, 2014 - October 8, 2015
NEXT FINANCIAL GROUP, INC.
January 7, 2014 - October 8, 2015
NEXT FINANCIAL GROUP, INC.
May 14, 2012 - October 25, 2012
NEXT FINANCIAL GROUP, INC.
May 14, 2012 - October 25, 2012
NEXT FINANCIAL GROUP, INC.
June 28, 2011 - March 19, 2012
GROVE POINT INVESTMENTS, LLC
June 27, 2011 - March 19, 2012
GROVE POINT INVESTMENTS, LLC
March 9, 2010 - June 23, 2011
NEXT FINANCIAL GROUP, INC.
March 9, 2010 - June 23, 2011
NEXT FINANCIAL GROUP, INC.
April 3, 2008 - February 9, 2009
B. RILEY WEALTH ADVISORS, INC.
August 2, 2007 - February 13, 2009
NATIONAL SECURITIES CORPORATION
April 12, 2002 - July 16, 2007
BROOKSTREET SECURITIES CORPORATION
April 30, 1999 - April 1, 2002
PACIFIC SELECT DISTRIBUTORS, LLC
January 31, 1997 - January 14, 1999
CAL FED INVESTMENTS
November 21, 1996 - January 31, 1997
INVEST FINANCIAL CORPORATION
August 22, 1996 - March 3, 1997
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/11/2024)
(6/11/2024)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
