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Scott Newsholme

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CRD#: 3062837
SN

Professional summary

Scott Newsholme was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Scott is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Scott had worked at 2 firms, which includes SII INVESTMENTS INC., OSAIC WEALTH INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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

December 8, 2008 - July 23, 2014

SII INVESTMENTS, INC.

BD
CRD#: 2225
MATAWAN, NJ
Past

August 14, 1999 - December 17, 2008

OSAIC WEALTH, INC.

BD
CRD#: 23131
MATAWAN, NJ

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.

Exams

General Industry/Product Exam
RR
Series 6
Date: 8/10/1999
Investment Company Products/Variable Contracts Representative Examination

Current Firm

SI
SII INVESTMENTS, INC.
HOMECO SECURITIES, INC. | SII INVESTMENTS, INC. | SECURA INVESTMENTS, INC.

CRD#: 2225 / SEC#: 801-54935, 8-13963

BD
Terminated by SEC on 09/08/2018
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Contact information

Main Address
5555 W Grande Market Drive, Appleton, WI 54913-8403
Mailing Address
Phone number
Established
Wisconsin since 02/27/1968
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

TERMINATED - SII INVESTMENTS ADV 2A: CONSULTING SERVICES AND FINANCIAL PLANNING BROCHURE (3/29/2018)
TERMINATED - SII FORM ADV PART 2A (3/29/2018)
TERMINATED - FORM ADV PART 2A, APPENDIX 1 (3/29/2018)

Direct owners and executive officers

NamePositionCRD#
NATIONAL PLANNING HOLDINGS, INCSHAREHOLDER
COLEMAN, CAREN LESLIEVP, NPH PRODUCT AND SPONSOR RELATIONS4298287
COLLINS, MAURA KATHRYNSVP/CFO NATIONAL PLANNING HOLDINGS4761732
DOWDEN, STEVEN HOWARDPRESIDENT AND CEO OF NPH2666894
GUNDERSON, GERRY ANPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS2448501
HARRIS, BRADLEY OLANDIRECTOR6589930
KALINOWSKI, DAWN MARIESVP, COO2770565
KINART, TODD MICHAELSII PRESIDENT & CEO/DIRECTOR2723511
LAMBRECHTS, VANESSA MARIE RODRIGUEZVP, FINOP & CONTROLLER4800775
MCCALLOP, PATRICIA ANNNPH AND SII SVP & CHIEF COMPLIANCE OFFICER5059176
MILLER, JAMES PETERNPH SVP OPERATIONS1955960

Disclosures

Regulatory Event13
Arbitration9

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.

Company Information

SII INVESTMENTS, INC.

CRD#: 2225

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