Duncan Scott Highmark
CFP®Professional Summary
Duncan Scott Highmark, CFP®, who also goes by Scott Highmark, is a registered financial advisor currently at MOSAIC WEALTH located in St. Louis, Missouri and PURSHE KAPLAN STERLING INVESTMENTS located in St. Louis, Missouri. Duncan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Duncan has worked at 7 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 31, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Scott Highmark
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Credentials
Years of Experience
30 years in the financial services industry
Current & Past Employments
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Current Firm
MOSAIC FAMILY WEALTH | MOSAIC WEALTH | MOSAIC FAMILY WEALTH PARTNERS, LLC
Contact Information
Main Address
1401 S. Brentwood Blvd. Suite 630, St. Louis, MO 63144Phone Number
(314) 627-5220# of Employees
22SEC notice filing (21 States and Territories)
Registered to provide investment advisory services in 21 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
4,827AUM (Assets Under Management)
$2,041,642,008Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/02/2025 | Cover Page | Report |
| 10/29/2024 | Cover Page | Report |
| 11/27/2023 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
MOSAIC FAMILY WEALTH | MOSAIC WEALTH | MOSAIC FAMILY WEALTH PARTNERS, LLC
State Registrations and Notice Filings
(1/6/2017)
(1/12/2016)
(2/20/2015)
(4/27/2015)
(2/20/2015)
(1/2/2020)
(2/20/2015)
(1/12/2016)
(3/30/2015)
(1/3/2020)
(3/30/2015)
(6/8/2015)
(1/3/2020)
(2/20/2015)
(1/4/2022)
(1/20/2016)
(2/20/2015)
(6/4/2015)
(1/11/2016)
(1/9/2020)
(1/12/2016)
(1/3/2020)
(3/31/2015)
(2/20/2015)
(1/4/2022)
(1/7/2020)
(2/20/2015)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Feb 1996About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Duncan Scott Highmark's CRS (Customer Relationship Summary).
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