Eric L. Scott

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CRD#: 2707074

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.

Eric Luther Scott was a registered financial professional .

Eric is a previously registered financial professional and started their career in finance in 1998. Eric had worked at 7 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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

February 18, 2020 - December 31, 2025

APO FINANCIAL SERVICES, LLC

RIA

CRD#: 297647

SAINT GEORGE, UT

Past

February 9, 2012 - December 13, 2019

HORTER INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 119880

ST. GEORGE, UT

Past

March 14, 2011 - February 3, 2012

E.L. SCOTT INVESTMENTS. LLC

RIA

CRD#: 156296

ST. GEORGE, UT

Past

July 3, 2007 - March 15, 2011

BROOKSTONE CAPITAL MANAGEMENT LLC

RIA

CRD#: 141413

ST. GEORGE, UT

Past

February 9, 2002 - April 14, 2003

PARKLAND SECURITIES, LLC

CRD#: 115368

ANN ARBOR, MI

Past

February 2, 2001 - February 9, 2002

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

October 20, 1998 - February 2, 2001

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

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".

APO FINANCIAL SERVICES, LLC

APO FINANCIAL SERVICES, LLC | SCOTT FINANCIAL SERVICES | JOHN HART FINANCIAL | ASSURANCE FINANCIAL PARTNERS

CRD#: 297647 / SEC#: 801-118090

RIA

Registered Investment Advisory firm - (2/14/2020 Approved)

Colorado

Registered Investment Advisory firm - (3/5/2020 Terminated)

Texas

Registered Investment Advisory firm - (2/21/2020 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 5/30/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/6/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 10/15/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

APO FINANCIAL SERVICES, LLC

APO FINANCIAL SERVICES, LLC | SCOTT FINANCIAL SERVICES | JOHN HART FINANCIAL | ASSURANCE FINANCIAL PARTNERS

CRD#: 297647 / SEC#: 801-118090

RIA

Registered Investment Advisory firm - (2/14/2020 Approved)

Colorado

Registered Investment Advisory firm - (3/5/2020 Terminated)

Texas

Registered Investment Advisory firm - (2/21/2020 Terminated)

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Contact information

Main Address

10155 Westmoor Drive Suite 125, Westminster, CO 80021-2627

Mailing Address

Phone number

(720) 588-2000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APO FINANCIAL FIRM BROCHURE (4/1/2025)

Regulatory assets under management

Total Number of Accounts	929
AUM (Assets Under Management)	$ 111,168,207

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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Advisor Monitoring

Firm Stability Insights

Eric L. Scott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HORTER INVESTMENT MANAGEMENT, LLC

E.L. SCOTT INVESTMENTS. LLC

BROOKSTONE CAPITAL MANAGEMENT LLC

PARKLAND SECURITIES, LLC

WALNUT STREET SECURITIES, INC.

OSAIC WEALTH, INC.

Primary Firm SEC Registration

APO FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/30/2007

Series 63

Date: 11/6/1998

Series 6

Date: 10/15/1998

Current Firm

APO FINANCIAL SERVICES, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

APO FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

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