Scott C. Williams

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CRD#: 2889617

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 Chandler Williams was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 1997. Scott had worked at 12 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, Series 79TO, SIE, Series 31, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 10, 2021 - February 16, 2024

TREASURE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 309258

SAN FRANCISCO, CA

Past

April 9, 2021 - May 27, 2021

FIGURE SECURITIES, INC.

CRD#: 307093

SAN FRANCISCO, CA

Past

June 20, 2013 - May 1, 2019

SOFI WEALTH LLC

RIA

CRD#: 167958

SAN FRANCISCO, CA

Past

May 8, 2012 - May 1, 2019

SOFI SECURITIES LLC

CRD#: 151717

SAN FRANCISCO, CA

Past

October 23, 2008 - May 1, 2012

COLLEGE ROCKET

CRD#: 144049

SAN FRANCISCO, CA

Past

May 21, 2007 - September 16, 2008

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAN FRANCISCO, CA

Past

May 18, 2007 - September 16, 2008

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

SAN FRANCISCO, CA

Past

June 21, 2005 - May 21, 2007

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

SAN FRANCISCO, CA

Past

June 21, 2005 - May 21, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

SAN FRANCISCO, CA

Past

February 28, 2005 - June 1, 2005

BANCWEST INVESTMENT SERVICES, INC.

CRD#: 29357

OMAHA, NE

Past

September 20, 2004 - February 28, 2005

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

SAN FRANCISCO, CA

Past

September 20, 2004 - February 28, 2005

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

March 26, 2004 - September 22, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

SAN FRANCISCO, CA

Past

March 26, 2004 - September 22, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

December 2, 2002 - March 25, 2004

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

SAN FRANCISCO, CA

Past

December 2, 2002 - March 25, 2004

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

SAN DIEGO, CA

Past

April 7, 1998 - December 3, 2002

CAL FED INVESTMENTS

CRD#: 19631

SACRAMENTO, CA

Past

June 3, 1997 - March 2, 1998

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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".

TREASURE INVESTMENT MANAGEMENT, LLC

CRD#: 309258 / SEC#: 801-119780

RIA

Registered Investment Advisory firm - (11/12/2020 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 6/12/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/4/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 6/20/1997

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/30/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 7/15/2009

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/15/2009

General Securities Principal Examination

Current Firm

TREASURE INVESTMENT MANAGEMENT, LLC

CRD#: 309258 / SEC#: 801-119780

RIA

Registered Investment Advisory firm - (11/12/2020 Approved)

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Contact information

Main Address

15300 N. 90th Street Suite 200, Scottsdale, AZ 85260

Mailing Address

Phone number

(310) 957-9428

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

TREASURE INVESTMENT MANAGEMENT FOR ADV WRAP BROCHURE 4-22-25 (4/22/2025)

Regulatory assets under management

Total Number of Accounts	310
AUM (Assets Under Management)	$ 108,467,640

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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Advisor Monitoring

Firm Stability Insights

Scott C. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIGURE SECURITIES, INC.

SOFI WEALTH LLC

SOFI SECURITIES LLC

COLLEGE ROCKET

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

BANCWEST INVESTMENT SERVICES, INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES, L.P.

CAL FED INVESTMENTS

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

TREASURE INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/12/1997

Series 63

Date: 6/4/1997

Series 99TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 31

Date: 6/20/1997

Series 7

Date: 5/30/1997

Series 53

Date: 7/15/2009

Series 24

Date: 4/15/2009

Current Firm

TREASURE INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TREASURE INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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