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Scott T. Werner

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CRD#: 3098532
SW

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 Thomas Werner was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 1998. Scott had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

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

March 5, 2007 - April 5, 2016

MID ATLANTIC FINANCIAL MANAGEMENT, INC.

RIA
CRD#: 109771
MCMURRAY, PA
Past

March 5, 2007 - April 5, 2016

NEWEDGE SECURITIES, LLC

BD
CRD#: 10674
MCMURRAY, PA
Past

April 17, 2002 - March 6, 2007

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
PITTSBURGH, PA
Past

January 4, 2001 - March 20, 2007

INNOVEST FINANCIAL MANAGEMENT INC

RIA
CRD#: 108794
PITTSBURGH, PA
Past

December 8, 1998 - May 26, 2000

J. B. HANAUER & CO.

BD
CRD#: 6958
PARSIPPANY, 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

State Security Law Exam
RR
IAR
Series 66
Date: 9/20/2000
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/4/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/5/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/3/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/11/2002
General Securities Principal Examination

Current Firm

MA
MID ATLANTIC FINANCIAL MANAGEMENT, INC.
EFIDUCIARY ADVISOR | STRATEGIC WEALTH MANAGEMENT GROUP | MID ATLANTIC FINANCIAL MANAGEMENT, INC. | MID ATLANTIC CAPITAL CORPORATION | LMK ADVISORS | FORESIGHT GLOBAL INVESTORS, INC.

CRD#: 109771 / SEC#: 801-21527

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Contact information

Main Address
1251 Waterfront Place Suite 510, Pittsburgh, PA 15222-4235
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

MID ATLANTIC FINANCIAL MANAGEMENT WRAP FEE PROGRAM BROCHURE (7/30/2021)
MID ATLANTIC FINANCIAL MANAGEMENT, INC. FIRM BROCHURE (7/30/2021)

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

MID ATLANTIC FINANCIAL MANAGEMENT, INC.

CRD#: 109771

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