Scott A. Marx
Professional summary
Scott Alan Marx, CFP®, who also goes by Scott Marx, is a registered financial advisor currently at SMP FINANCIAL PLANNING, LLC located in Falls Church, Virginia.
Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Scott has worked at 5 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Scott Alan Marx's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2023
Experience
February 8, 2023 - Present
SMP FINANCIAL PLANNING, LLC
July 2, 2010 - May 17, 2022
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 23, 2010 - May 17, 2022
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 17, 2009 - May 24, 2010
WELLS FARGO CLEARING SERVICES, LLC
June 27, 2003 - February 10, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 29, 2001 - June 2, 2003
BACAP DISTRIBUTORS, LLC
March 10, 1998 - August 20, 2001
BANC OF AMERICA INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(2/8/2023)
(8/22/2025)
(8/27/2025)
(4/23/2023)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
SMP FINANCIAL PLANNING, LLC
CRD#: 315300 / SEC#: 801-134873
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 78 |
| AUM (Assets Under Management) | $ 64,387,095 |
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.
