Scott E. Mann

VIA IV INVESTMENTS

HOUSTON, TX 77057

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CRD#: 2777511

Professional summary

Scott Edward Mann is a registered financial advisor currently at VIA IV INVESTMENTS, LLC located in Houston, Texas.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Scott has worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1. CONDUCT INSURANCE BUSINESS DIRECTLY WITH PRODUCT SPONSOR/INSURANCE COMPANIES: F AND G. 2. PARTNERS EQUITY GROUP BOARD MEMBER-THIS IS DBA FOR INSURANCE BUSINESS. LESS THAN 10% OF TIME DESIGNATED TO THIS ACTIVITY. 3. MONEY SHOW WITH SCOTT MANN,RADIO SHOW,6161 SAVOY DRIVE, SUITE #1200, HOUSTON, TX 77036, 12 HR/MO, QUESTION AND ANSWER BASED. DBA GALLERIA EQUITY PARTNERS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Edward Mann's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 9, 2014 - Present

VIA IV INVESTMENTS, LLC

Office #1: 1717 St. James Place Suite 365, Houston, TX 77057

RIA

CRD#: 121992

HOUSTON, TX

Past

September 20, 2018 - December 31, 2020

MANN WEALTH MANAGEMENT, LLC

RIA

CRD#: 292172

HOUSTON, TX

Past

December 18, 2003 - April 6, 2010

OSAIC WEALTH, INC.

CRD#: 23131

HOUSTON, TX

Past

September 1, 2000 - November 19, 2003

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

January 1, 1999 - September 6, 2000

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

October 23, 1996 - January 1, 1999

FIRST OF MICHIGAN CORPORATION

CRD#: 311

DETROIT, MI

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".

VIA IV INVESTMENTS, LLC

"WISEFACTORS" | VIA IV INVESTMENTS, LLC | JEFFREY JACOB HOLLAND INVESTMENTS, LLC | JEFFREY JACOB HOLLAND INVENSTMENT, LLC | JEFFREY JACOB HOLLAND

CRD#: 121992 / SEC#: 801-120335

RIA

Registered Investment Advisory firm - (2/16/2021 Approved)

Illinois

Registered Investment Advisory firm - (9/9/2022 Terminated)

Texas

Registered Investment Advisory firm - (10/3/2014 Approved)

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(10/9/2014)

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: 4/27/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/5/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/22/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/27/2000

General Securities Principal Examination

Current Firm

VIA IV INVESTMENTS, LLC

"WISEFACTORS" | VIA IV INVESTMENTS, LLC | JEFFREY JACOB HOLLAND INVESTMENTS, LLC | JEFFREY JACOB HOLLAND INVENSTMENT, LLC | JEFFREY JACOB HOLLAND

CRD#: 121992 / SEC#: 801-120335

RIA

Registered Investment Advisory firm - (2/16/2021 Approved)

Illinois

Registered Investment Advisory firm - (9/9/2022 Terminated)

Texas

Registered Investment Advisory firm - (10/3/2014 Approved)

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Contact information

Main Address

1333 Burr Ridge Parkway Suite 200, Burr Ridge, IL 60527

Mailing Address

Phone number

(630) 674-7226

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2AB VIA IV INVESTMENTS, LLC (2/5/2025)

FORM ADV PART 2B FOR LEFTAKES (2/5/2025)

FORM ADV PART 2B FOR SCOTT MANN (2/5/2025)

Regulatory assets under management

Total Number of Accounts	531
AUM (Assets Under Management)	$ 190,460,996

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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Firm Stability Insights

Scott E. Mann

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Edward Mann's CRS (Customer Relationship Summary).

Certified licenses

Experience

MANN WEALTH MANAGEMENT, LLC

OSAIC WEALTH, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

OPPENHEIMER & CO. INC.

FIRST OF MICHIGAN CORPORATION

Primary Firm SEC Registration

VIA IV INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/27/2014

Series 63

Date: 11/5/1996

Series 7

Date: 10/22/1996

Series 24

Date: 11/27/2000

Current Firm

VIA IV INVESTMENTS, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VIA IV INVESTMENTS, LLC

TRUST BUT VERIFY

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