Scott A. Klaassen

TURNER FINANCIAL GROUP

OMAHA, NE

Some features on this profile are disabled

CRD#: 3098168

Professional summary

Scott Allen Klaassen is a registered financial advisor currently at TURNER FINANCIAL GROUP, INC. located in Omaha, Nebraska.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Scott has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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) - RIA

Click below to view Scott Allen Klaassen's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

March 17, 2023 - Present

TURNER FINANCIAL GROUP, INC.

RIA

CRD#: 134204

OMAHA, NE

Past

September 12, 2017 - February 25, 2021

CLARAPHI ADVISORY NETWORK, LLC

RIA

CRD#: 165868

OMAHA, NE

Past

August 15, 2008 - March 17, 2017

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

OMAHA, NE

Past

April 17, 2006 - January 23, 2008

TD AMERITRADE, INC.

CRD#: 7870

BELLEVUE, NE

Past

July 9, 2004 - December 7, 2005

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

ELKHORN, NE

Past

June 4, 2002 - July 14, 2003

QA3 FINANCIAL CORP.

CRD#: 14754

OMAHA, NE

Past

July 26, 2000 - June 3, 2002

ASSIST INVESTMENT MANAGEMENT COMPANY, INC.

CRD#: 34902

LEAWOOD, KS

Past

September 29, 1998 - April 7, 2000

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".

TURNER FINANCIAL GROUP, INC.

ANDALUS CAPITAL, LLC. | TURNER FINANCIAL GROUP, INC. | SEELAN WEALTH STRATEGIES | GF THOMAS ADVISORY GROUP | DEDICATED FINANCIAL LLC

CRD#: 134204 / SEC#: 801-129021

RIA

Registered Investment Advisory firm - (11/3/2023 Approved)

Alabama

Registered Investment Advisory firm - (11/17/2023 Terminated)

Florida

Registered Investment Advisory firm - (11/17/2023 Terminated)

Louisiana

Registered Investment Advisory firm - (11/20/2023 Terminated)

Maryland

Registered Investment Advisory firm - (12/31/2017 Terminated)

New York

Registered Investment Advisory firm - (11/17/2023 Terminated)

Texas

Registered Investment Advisory firm - (11/17/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Florida
(3/17/2023)

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: 9/12/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/26/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/17/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/14/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/28/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

TURNER FINANCIAL GROUP, INC.

ANDALUS CAPITAL, LLC. | TURNER FINANCIAL GROUP, INC. | SEELAN WEALTH STRATEGIES | GF THOMAS ADVISORY GROUP | DEDICATED FINANCIAL LLC

CRD#: 134204 / SEC#: 801-129021

RIA

Registered Investment Advisory firm - (11/3/2023 Approved)

Alabama

Registered Investment Advisory firm - (11/17/2023 Terminated)

Florida

Registered Investment Advisory firm - (11/17/2023 Terminated)

Louisiana

Registered Investment Advisory firm - (11/20/2023 Terminated)

Maryland

Registered Investment Advisory firm - (12/31/2017 Terminated)

New York

Registered Investment Advisory firm - (11/17/2023 Terminated)

Texas

Registered Investment Advisory firm - (11/17/2023 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

4366 5th Avenue, Pace, FL 32571-1810

Mailing Address

Phone number

(850) 995-1797

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TFG ADV PART 2A_03.2025 UPDATE FINAL.PDF (3/31/2025)

Regulatory assets under management

Total Number of Accounts	985
AUM (Assets Under Management)	$ 171,026,487

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Scott A. Klaassen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Allen Klaassen's CRS (Customer Relationship Summary).

Certified licenses

Experience

CLARAPHI ADVISORY NETWORK, LLC

NORTHERN LIGHTS DISTRIBUTORS, LLC

TD AMERITRADE, INC.

NORTHERN LIGHTS DISTRIBUTORS, LLC

QA3 FINANCIAL CORP.

ASSIST INVESTMENT MANAGEMENT COMPANY, INC.

ORBITEX FUNDS DISTRIBUTOR, INC.

Primary Firm SEC Registration

TURNER FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/12/2017

Series 63

Date: 9/26/2002

SIE

Date: 3/17/2017

Series 7

Date: 4/14/2006

Series 6

Date: 9/28/1998

Current Firm

TURNER FINANCIAL GROUP, INC.

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TURNER FINANCIAL GROUP, INC.

TRUST BUT VERIFY

Similar Advisors