Scott T. Sheffer

CARNEGIE WEALTH MANAGEMENT

Berwyn, PA 19312

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CRD#: 3109236

Professional summary

Scott Taylor Sheffer is a registered financial advisor currently at CARNEGIE WEALTH MANAGEMENT, LLC located in Berwyn, Pennsylvania.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Scott has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3, Series 10 and Series 9 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.

1. Carnegie Wealth Management, LLC, investment related, 920 Cassatt Road, Suite 202, Berwyn, PA 19312; Registered Investment Advisor, CEO, 03/01/2018, 152 hours/month all during securities trading hours, CEO & CCO duties. 2. So Farr Holdings, LLC, non investment-related, 920 Cassatt Road, Suite 202, Berwyn, PA 19312, Holding company for ownership interest in Carnegie Wealth Management, Owner, 8/28/2017, 0-1 hour per month, 0 during securities trading hours, Owner.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Taylor Sheffer'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 1, 2018 - Present

CARNEGIE WEALTH MANAGEMENT, LLC

Office #1: 850 Cassatt Road Suite 225, Berwyn, PA 19312

RIA

CRD#: 290430

Berwyn, PA

Past

August 18, 2017 - June 11, 2020

THE STRATEGIC FINANCIAL ALLIANCE, INC.

RIA

CRD#: 126514

BERWYN, PA

Past

August 18, 2017 - August 10, 2022

THE STRATEGIC FINANCIAL ALLIANCE, INC.

CRD#: 126514

BERWYN, PA

Past

January 21, 2009 - December 15, 2015

BARCLAYS CAPITAL INC.

RIA

CRD#: 19714

PHILADELPHIA, PA

Past

September 22, 2008 - December 15, 2015

BARCLAYS CAPITAL INC.

CRD#: 19714

PHILADELPHIA, PA

Past

April 25, 2008 - October 15, 2008

LEHMAN BROTHERS INC.

RIA

CRD#: 7506

PHILADELPHIA, PA

Past

April 3, 2008 - September 22, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

PHILADELPHIA, PA

Past

October 14, 1998 - April 4, 2008

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

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".

CARNEGIE WEALTH MANAGEMENT, LLC

CRD#: 290430 / SEC#: 801-114906

RIA

Registered Investment Advisory firm - (3/26/2019 Approved)

Pennsylvania

Registered Investment Advisory firm - (3/27/2019 Terminated)

Texas

Registered Investment Advisory firm - (3/27/2019 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

Pennsylvania
(3/1/2018)

IAR

Texas
(1/22/2019)

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: 12/22/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/4/1998

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: 10/13/1998

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 9/25/1998

National Commodity Futures Examination

Principal/Supervisory Exam

Series 10

Date: 4/30/2008

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 4/11/2008

General Securities Sales Supervisor - Options Module Examination

Current Firm

CARNEGIE WEALTH MANAGEMENT, LLC

CRD#: 290430 / SEC#: 801-114906

RIA

Registered Investment Advisory firm - (3/26/2019 Approved)

Pennsylvania

Registered Investment Advisory firm - (3/27/2019 Terminated)

Texas

Registered Investment Advisory firm - (3/27/2019 Terminated)

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Contact information

Main Address

850 Cassatt Road Suite 225, Berwyn, PA 19312

Mailing Address

Phone number

(610) 640-4300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CARNEGIE WEALTH MANAGEMENT DISCLOSURE BROCHURE, BROCHURE SUPPLEMENT AND PRIVACY POLICY (1/13/2025)

Regulatory assets under management

Total Number of Accounts	917
AUM (Assets Under Management)	$ 333,639,773

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 T. Sheffer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Taylor Sheffer's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE STRATEGIC FINANCIAL ALLIANCE, INC.

THE STRATEGIC FINANCIAL ALLIANCE, INC.

BARCLAYS CAPITAL INC.

BARCLAYS CAPITAL INC.

LEHMAN BROTHERS INC.

LEHMAN BROTHERS INC.

GOLDMAN SACHS & CO. LLC

Primary Firm SEC Registration

CARNEGIE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/22/1999

Series 63

Date: 9/4/1998

SIE

Date: 10/1/2018

Series 7

Date: 10/13/1998

Series 3

Date: 9/25/1998

Series 10

Date: 4/30/2008

Series 9

Date: 4/11/2008

Current Firm

CARNEGIE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CARNEGIE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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