SG
Scott A. Ginger
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES
Cedar Rapids, IA 52410-1340
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CRD#: 2704772
SG
Professional summary
Scott Allen Ginger is a registered financial professional currently at BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Cedar Rapids, Iowa and SECURITIES MANAGEMENT & RESEARCH, INC. located in Cedar Rapids, Iowa.
Scott is registered as a RR (Registered Representative) and started their career in finance in 1996. Scott has worked at 5 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 31, Series 7 and Series 24 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Scott Allen Ginger'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
November 9, 2009 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 4201 42nd Street Ne, Suite 100 Box 11340, Cedar Rapids, IA 52410-1340RIA
BD
CRD#: 13609
Cedar Rapids, IA
Current
August 16, 2013 - Present
SECURITIES MANAGEMENT & RESEARCH, INC.
Office #1: 4201 42nd Street Ne Suite 100 Box 11606, Cedar Rapids, IA 52410-1606BD
CRD#: 759
Cedar Rapids, IA
Past
May 11, 2004 - March 31, 2009
NATIONS FINANCIAL GROUP, INC.
BD
CRD#: 44181
CEDAR RAPIDS, IA
Past
June 19, 2002 - May 4, 2004
FIRST MIDWEST SECURITIES, INC.
BD
CRD#: 21786
BLOOMINGTON, IL
Past
March 17, 1999 - March 15, 2002
AMERICAN INVESTMENT SERVICES, INC.
BD
CRD#: 21111
OKLAHOMA CITY, OK
Past
February 13, 1996 - July 2, 1998
AMERICAN INVESTMENT SERVICES, INC.
BD
CRD#: 21111
OKLAHOMA CITY, OK
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/16/2013)
RR
Arizona(1/12/2015)
RR
Arkansas(8/16/2013)
RR
California(1/5/2015)
RR
Colorado(1/12/2015)
RR
Connecticut(10/2/2019)
RR
Delaware(1/18/2018)
RR
Florida(3/13/2013)
RR
Georgia(1/12/2015)
RR
Hawaii(1/12/2015)
RR
Idaho(6/12/2019)
RR
Illinois(1/6/2015)
RR
Indiana(1/9/2015)
RR
Iowa(11/9/2009)
RR
Kansas(8/16/2013)
RR
Kentucky(1/5/2015)
RR
Louisiana(6/12/2019)
RR
Maryland(1/5/2015)
RR
Massachusetts(8/16/2013)
RR
Michigan(10/2/2019)
RR
Minnesota(8/16/2013)
RR
Mississippi(10/2/2019)
RR
Missouri(1/12/2015)
RR
Nebraska(8/16/2013)
RR
New Hampshire(8/16/2013)
RR
New Jersey(1/30/2025)
RR
New Mexico(8/16/2013)
RR
New York(10/2/2019)
RR
North Dakota(6/12/2019)
RR
Ohio(10/3/2019)
RR
Oklahoma(10/2/2019)
RR
Oregon(10/2/2019)
RR
Pennsylvania(8/16/2013)
RR
South Carolina(1/12/2015)
RR
South Dakota(1/3/2017)
RR
Tennessee(10/2/2019)
RR
Texas(8/16/2013)
RR
Utah(10/3/2019)
RR
Virginia(10/2/2019)
RR
Washington(1/12/2015)
RR
West Virginia(10/2/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SM
SECURITIES MANAGEMENT & RESEARCH, INC.
SECURITIES MANAGEMENT & RESEARCH, INC. | SOUTH SHORE ADVISORS, INC. | SM&R | SECURITIES MANAGEMENT AND RESEARCH, INC. ("SM&R") | SECURITIES MANAGEMENT AND RESEARCH, INC.
CRD#: 759 / SEC#: 801-8002, 8-12745
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402
Mailing Address
P.o. Box 11606, Cedar Rapids, IA 52410-1606
Phone number
(855) 767-5700
Established
Florida since 12/15/1964
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ONE FINANCIAL, INC. | PARENT | |
| BERTHEL, THOMAS JOSEPH | CHAIRMAN OF BOARD/EXECUTIVE VICE PRESIDENT | 823289 |
| CHAPMAN, KIMBERLY KAREN EARLY | CHIEF COMPLIANCE OFFICER | 2527036 |
| CHRISTOFFERSON, ANDREW JAMES | CHIEF EXECUTIVE OFFICER/PRESIDENT | 3248381 |
| DAVENPORT, SHELLEY RAE | VICE PRESIDENT LEGAL & REGULATORY MATTERS | 2131376 |
| HOHN, JAMES RALPH | VICE PRESIDENT/TECHNOLOGY | 5413776 |
| MEEHAN, DANIEL GERARD | VICE PRESIDENT RECRUITING | 2264556 |
| MURPHY, RICHARD MAURICE | EXECUTIVE VICE PRESIDENT | 4893748 |
| NOETHEN, BRITTANY MICHELLE | CHIEF TECHNOLOGY OFFICER | 2610543 |
| RUPP, BRIAN MICHAEL | CHIEF FINANCIAL OFFICER/TREASURER | 6721718 |
| SCHAUL, JOANNA MARIE | CHIEF ADMINISTRATIVE OFFICER/SECRETARY | 4947759 |
| WILCOX, RANDY AUSTIN | VICE PRESIDENT COMPLIANCE/OSJ MANAGER | 4346998 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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Company Information
SECURITIES MANAGEMENT & RESEARCH, INC.
CRD#: 759Cedar Rapids, IA 52410-1340TRUST BUT VERIFY
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