Scott R. Kubie

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CRD#: 2958475

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 Richard Kubie was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 1998. Scott had worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 6 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.

1.NAME OF OTHER BUSINESS: CWM, LLC DBA CARSON WEALTH MANAGEMENT GROUP, CARSON GROUP PARTNERS AND CARSON GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM THAT PROVIDES PORTFOLIO MANAGEMENT, FINANCIAL PLANNING, ESTATE PLANNING AND ADDITIONAL ADVISORY SERVICES POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE START DATE: 05/2017 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: INVESTMENT ADVISOR PROVIDING ADVISORY SERVICES TO ITS CLIENTS, INCLUDING DISCRETIONARY INVESTMENT MANAGEMENT AND FINANCIAL GUIDANCE. 2.NAME OF OTHER BUSINESS: CHRIST COMMUNITY CHURCH INVESTMENT RELATED: NO ADDRESS: 404 S. 108TH AVE, OMAHA, NE 68154 NATURE OF BUSINESS: CHURCH START DATE: 04/2017 POSITION/TITLE/RELATIONSHIP: TREASURER / ELDER APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 5 BRIEF DESCRIPTION OF DUTIES: RESPONSIBLE FOR BUDGETS, TRANSACTION APPROVALS, AND GOVERNANCE. DO NOT HAVE CHECK WRITING AUTHORITY, BUT MAY ACT AS A SECOND SIGNER ON CHECKS. 3. 1.NAME OF OTHER BUSINESS: CARSON GROUP INVESTING, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADVISORY BUSINESS POSITION/TITLE/RELATIONSHIP: ADVISORY REPRESENTATIVE START DATE: 07/2018 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: ASSET MANAGEMENT

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

July 26, 2018 - August 25, 2022

CARSON GROUP INVESTING

RIA

CRD#: 291744

OMAHA, NE

Past

May 17, 2017 - December 18, 2019

CETERA WEALTH SERVICES, LLC

CRD#: 13572

OMAHA, NE

Past

May 15, 2017 - August 25, 2022

CWM, LLC

RIA

CRD#: 155344

OMAHA, NE

Past

October 6, 2003 - December 31, 2016

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

OMAHA, NE

Past

May 18, 2001 - November 7, 2003

ORBITEX FUNDS DISTRIBUTOR, INC.

CRD#: 41453

STAMFORD, CT

Past

April 24, 2001 - March 6, 2017

ORION PORTFOLIO SOLUTIONS, LLC

RIA

CRD#: 107975

OMAHA, NE

Past

September 11, 1998 - July 31, 1999

ORBITEX FUNDS DISTRIBUTOR, INC.

CRD#: 41453

STAMFORD, CT

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".

CARSON GROUP INVESTING

CARSON GROUP INVESTING | CARSON INVESTING | CARSON GROUP INVESTING, LLC

CRD#: 291744 / SEC#: 801-113561

RIA

Registered Investment Advisory firm - (7/9/2018 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

Series 63

Date: 7/31/2017

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/8/1998

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 8/24/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CARSON GROUP INVESTING

CARSON GROUP INVESTING | CARSON INVESTING | CARSON GROUP INVESTING, LLC

CRD#: 291744 / SEC#: 801-113561

RIA

Registered Investment Advisory firm - (7/9/2018 Approved)

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Contact information

Main Address

14600 Branch St., Omaha, NE 68154

Mailing Address

Phone number

(402) 334-6270

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

CARSON GROUP INVESTING, LLC ADV PART 2A (3/12/2025)

Regulatory assets under management

Total Number of Accounts	14,187
AUM (Assets Under Management)	$ 1,781,011,675

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 R. Kubie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CWM, LLC

NORTHERN LIGHTS DISTRIBUTORS, LLC

ORBITEX FUNDS DISTRIBUTOR, INC.

ORION PORTFOLIO SOLUTIONS, LLC

ORBITEX FUNDS DISTRIBUTOR, INC.

Primary Firm SEC Registration

CARSON GROUP INVESTING

State Registrations and Notice Filings

Exams

Series 63

Date: 7/31/2017

Series 65

Date: 1/8/1998

SIE

Date: 10/1/2018

Series 6

Date: 8/24/1998

Current Firm

CARSON GROUP INVESTING

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CARSON GROUP INVESTING

TRUST BUT VERIFY

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