Scott D. Mohler
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.
Scott Duncan Mohler was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1996. Scott had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2019 - May 22, 2026
IFP SECURITIES, LLC
December 4, 2017 - November 1, 2018
LPL FINANCIAL LLC
July 19, 2012 - May 22, 2026
INDEPENDENT FINANCIAL PARTNERS
July 5, 2012 - November 1, 2018
LPL FINANCIAL LLC
June 21, 2007 - July 5, 2012
WELLS FARGO CLEARING SERVICES, LLC
March 8, 2007 - June 18, 2007
WELLS FARGO CLEARING SERVICES, LLC
February 22, 2006 - July 5, 2012
WELLS FARGO CLEARING SERVICES, LLC
February 23, 2004 - December 9, 2005
CHASE INVESTMENT SERVICES CORP.
February 23, 2004 - December 9, 2005
CHASE INVESTMENT SERVICES CORP.
July 15, 1997 - December 17, 2003
CHARLES SCHWAB & CO., INC.
May 13, 1997 - December 17, 2003
CHARLES SCHWAB & CO., INC.
July 9, 1996 - October 29, 1996
FAS WEALTH MANAGEMENT SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
IFP SECURITIES, LLC
CRD#: 297287 / SEC#: , 8-70150
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IFP GROUP, LLC | OWNER | |
| ACHESON, JEFFERY ALLEN | CHIEF BUSINESS DEVELOPMENT OFFICER | 706698 |
| GILMAN, AARON LEE | CHIEF INVESTMENT OFFICER | 5611425 |
| HAMM, WILLIAM CHRISTOPHER | PRESIDENT, CHIEF OPERATING OFFICER | 5814331 |
| HAMM, WILLIAM EUGENE JR | CHIEF EXECUTIVE OFFICER AND CHAIRPERSON OF THE BOARD OF DIRECTORS | 1227713 |
| JOHNSON, TORIAN | CHIEF COMPLIANCE OFFICER | 5363604 |
| MEJIA, OSCAR MIGUEL | FINOP | 5569235 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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