Scott T. Snelling
Professional summary
Scott Travis Snelling was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Scott is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Scott had worked at 5 firms, which includes KESTRA ADVISORY SERVICES LLC, KESTRA INVESTMENT SERVICES LLC, NATIONAL PLANNING CORPORATION, AMERICAN GENERAL SECURITIES INCORPORATED, AMERICAN GENERAL EQUITY SERVICES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2017 - December 5, 2019
KESTRA ADVISORY SERVICES, LLC
October 12, 2017 - October 19, 2017
KESTRA ADVISORY SERVICES, LLC
October 12, 2017 - December 5, 2019
KESTRA INVESTMENT SERVICES, LLC
November 12, 2007 - October 4, 2017
NATIONAL PLANNING CORPORATION
October 22, 2007 - October 4, 2017
NATIONAL PLANNING CORPORATION
May 7, 2007 - October 23, 2007
AMERICAN GENERAL SECURITIES INCORPORATED
October 1, 2002 - October 23, 2007
AMERICAN GENERAL SECURITIES INCORPORATED
September 3, 1996 - October 1, 2002
AMERICAN GENERAL EQUITY SERVICES CORPORATION
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
