DH
Duncan S. Highmark
MOSAIC WEALTH
St. Louis, MO 63144
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CRD#: 2707962
DH
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 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Scott Highmark
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.
1. Mr. Highmark is dually-registered with Mosaic Family Wealth, LLC and Purshe Kaplan Sterling Investments, Inc. ("PKS"). Mr. Highmark has served as a President and Principal for Mosaic Family Wealth, LLC and as a registered representative with PKS since 02/2015. Business is conducted from 1401 South Brentwood Boulevard, Suite 630, St. Louis, MO 63144, USA. Approximately 90% of Mr. Highmark's time is for oversight of strategy and direction of firm business development and Client engagement and the balance as a registered representative. 2. HSM WEALTH PARTNERS LLC; PERSONAL INVESTMENT IN START UP FIRM; PASSIVE INVESTOR; NO TIME SPENT DURING AND AFTER BUSINESS; 11/2013 3. BALLYS SPORTS MIDWEST; SPORTS BROADCASTING; COLOR ANALYST ON COLLEGE BASKETBALL GAMES; AFTER BUSINESS HOURS 2.00; I SERVE AS THE COLOR ANALYST FOR ST. LOUIS UNIVERSITY MENS BASKETBALL GAMES ON TV FOR FOX SPORTS MIDWEST. 4. ST LOUIS SPORTS COMMISSION. NOT INVESTMENT RELATED. ATTRACTING NATIONAL LEVEL AMATEUR SPORTING EVENTS. BOARD OF DIRECTORS. START 1/2010. 1 HOUR PER MONTH, 0 DURING TRADING. GENERAL OVERSIGHT OF THE MISSION OF THE ORGANIZATION 5. Insurance Agent. Investment Related. 1401 S Brentwood Blvd, Suite 600, St Louis MO 63144. Insurance and Annuities. Insurance Agent and Registered Rep. Start 2/2015. 2 hours per month during trading. Review clients' current insurance and annuity policies as part of their total investment portfolio.
CRS (Client Relationship Summary) - RIA
Click below to view Duncan Scott Highmark'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®
CFP®
Start date: 2000
Experience
Current
January 4, 2022 - Present
MOSAIC WEALTH
Office #1: 1401 S. Brentwood Blvd. Suite 630, St. Louis, MO 63144RIA
CRD#: 317377
St. Louis, MO
Current
February 20, 2015 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 1401 South Brentwood Blvd. Suite 630, St. Louis, MO 63144BD
CRD#: 35747
St. Louis, MO
Past
February 20, 2015 - January 3, 2022
MOSAIC FAMILY WEALTH, LLC
RIA
CRD#: 170923
ST. LOUIS, MO
Past
June 1, 2009 - March 5, 2015
MORGAN STANLEY
RIA
CRD#: 149777
CHESTERFIELD, MO
Past
June 1, 2009 - March 5, 2015
MORGAN STANLEY
BD
CRD#: 149777
CHESTERFIELD, MO
Past
April 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
CHESTERFIELD, MO
Past
April 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
CHESTERFIELD, MO
Past
February 14, 2006 - April 26, 2006
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
SAINT LOUIS, MO
Past
August 6, 1996 - April 26, 2006
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
February 12, 1996 - August 9, 1996
AMERICAN GENERAL EQUITY SERVICES CORPORATION
BD
CRD#: 5435
HOUSTON, 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".
MW
MOSAIC WEALTH
MOSAIC FAMILY WEALTH | MOSAIC WEALTH | MOSAIC FAMILY WEALTH PARTNERS, LLC
CRD#: 317377 / SEC#: 801-122745
RIA
Registered Investment Advisory firm - (11/24/2021 Approved)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.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
California(1/6/2017)
RR
Colorado(1/12/2016)
RR
Florida(2/20/2015)
RR
Georgia(4/27/2015)
RR
Illinois(2/20/2015)
RR
Indiana(1/2/2020)
RR
Kansas(2/20/2015)
RR
Kentucky(1/12/2016)
RR
Louisiana(3/30/2015)
RR
Maryland(1/3/2020)
RR
Massachusetts(3/30/2015)
RR
Michigan(6/8/2015)
RR
Minnesota(1/3/2020)
RR
Missouri(2/20/2015)
IAR
Missouri(1/4/2022)
RR
Nevada(1/20/2016)
RR
New York(2/20/2015)
RR
North Carolina(6/4/2015)
RR
Ohio(1/11/2016)
RR
Oklahoma(1/9/2020)
RR
Oregon(1/12/2016)
RR
Pennsylvania(1/3/2020)
RR
South Carolina(3/31/2015)
RR
Texas(2/20/2015)
IAR
Texas(1/4/2022)
RR
Utah(1/7/2020)
RR
Wyoming(2/20/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MW
MOSAIC WEALTH
MOSAIC FAMILY WEALTH | MOSAIC WEALTH | MOSAIC FAMILY WEALTH PARTNERS, LLC
CRD#: 317377 / SEC#: 801-122745
RIA
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Contact information
Main Address
1401 S. Brentwood Blvd. Suite 630, St. Louis, MO 63144
Mailing Address
Phone number
(314) 627-5220
Established
Firm type
Fiscal year end
# of Employees
20
SEC notice filing (21 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,296 |
| AUM (Assets Under Management) | $ 1,638,336,784 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/02/2025 | ||
| 10/29/2024 | ||
| 11/27/2023 | ||
| 01/30/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
MOSAIC WEALTH
CRD#: 317377St. Louis, MO 63144TRUST BUT VERIFY
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