Scott A. Devens

NEWPORT BEACH, CA

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CRD#: 3013405

Professional summary

Scott Alan Devens was a registered financial advisor .

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Scott had worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 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.

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

Current

September 19, 2025 - Present

NEWPORT BEACH, CA

Past

May 10, 2000 - January 3, 2025

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BREA, CA

Past

September 20, 1999 - January 3, 2025

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BREA, CA

Past

March 24, 1998 - September 22, 1999

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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

California
(9/19/2025)

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: 5/1/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/26/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/23/1998

General Securities Representative Examination

Current firm

No current employment

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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Scott A. Devens

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 65

Date: 5/1/2000

Series 63

Date: 3/26/1998

SIE

Date: 10/1/2018

Series 7

Date: 3/23/1998

Current firm

No current employment

Red Flags

Company Information

No current employment

TRUST BUT VERIFY

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