Scott T. Koontz

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CRD#: 3142253

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 T Koontz, who also goes by Scott T Koontz, Scott Thomas Koontz, was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 1999. Scott had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Scott T Koontz | Scott Thomas Koontz

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

September 26, 2018 - December 31, 2021

CREATIVE FINANCIAL DESIGNS, INC.

RIA

CRD#: 109032

New Castle, IN

Past

September 26, 2018 - December 31, 2021

CFD INVESTMENTS, INC.

CRD#: 25427

New Castle, IN

Past

January 18, 2018 - September 14, 2018

FARMERS FINANCIAL SOLUTIONS, LLC

CRD#: 103863

NEW CASTLE, IN

Past

February 14, 2013 - January 4, 2018

TRIUMPH WEALTH ADVISORS, INC.

RIA

CRD#: 153175

NEW CASTLE, IN

Past

February 18, 2011 - January 4, 2018

TAYLOR CAPITAL MANAGEMENT INC.

CRD#: 43559

NEW CASTLE, IN

Past

October 24, 2008 - February 22, 2011

WOODSTOCK FINANCIAL GROUP, INC.

RIA

CRD#: 38095

NEW CASTLE, IN

Past

June 17, 2008 - February 22, 2011

WOODSTOCK FINANCIAL GROUP, INC.

CRD#: 38095

NEW CASTLE, IN

Past

July 26, 2001 - October 27, 2003

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

LINCOLN, NE

Past

May 9, 2000 - August 15, 2001

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

February 1, 1999 - September 22, 1999

FBL MARKETING SERVICES, LLC

CRD#: 5309

WEST DES MOINES, IA

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".

CREATIVE FINANCIAL DESIGNS, INC.

CFD INVESTMENTS, INC. | CREATIVE FINANCIAL DESIGNS, INC.

CRD#: 109032 / SEC#: 801-60153

RIA

Registered Investment Advisory firm - (4/19/2001 Approved)

California

Registered Investment Advisory firm - (4/20/2001 Terminated)

Florida

Registered Investment Advisory firm - (4/19/2001 Terminated)

Indiana

Registered Investment Advisory firm - (12/9/2002 Terminated)

Iowa

Registered Investment Advisory firm - (5/20/2002 Terminated)

Kentucky

Registered Investment Advisory firm - (4/19/2001 Terminated)

Maryland

Registered Investment Advisory firm - (5/20/2002 Terminated)

Michigan

Registered Investment Advisory firm - (12/11/2001 Terminated)

Missouri

Registered Investment Advisory firm - (4/19/2001 Terminated)

New Jersey

Registered Investment Advisory firm - (4/19/2001 Terminated)

North Carolina

Registered Investment Advisory firm - (12/19/2006 Terminated)

Ohio

Registered Investment Advisory firm - (4/19/2001 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.

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 6/21/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/19/1999

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: 6/16/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/29/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CREATIVE FINANCIAL DESIGNS, INC.

CFD INVESTMENTS, INC. | CREATIVE FINANCIAL DESIGNS, INC.

CRD#: 109032 / SEC#: 801-60153

RIA

Registered Investment Advisory firm - (4/19/2001 Approved)

California

Registered Investment Advisory firm - (4/20/2001 Terminated)

Florida

Registered Investment Advisory firm - (4/19/2001 Terminated)

Indiana

Registered Investment Advisory firm - (12/9/2002 Terminated)

Iowa

Registered Investment Advisory firm - (5/20/2002 Terminated)

Kentucky

Registered Investment Advisory firm - (4/19/2001 Terminated)

Maryland

Registered Investment Advisory firm - (5/20/2002 Terminated)

Michigan

Registered Investment Advisory firm - (12/11/2001 Terminated)

Missouri

Registered Investment Advisory firm - (4/19/2001 Terminated)

New Jersey

Registered Investment Advisory firm - (4/19/2001 Terminated)

North Carolina

Registered Investment Advisory firm - (12/19/2006 Terminated)

Ohio

Registered Investment Advisory firm - (4/19/2001 Terminated)

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Contact information

Main Address

2704 S Goyer Rd, Kokomo, IN 46902

Mailing Address

P.o. Box # 2244, Kokomo, IN 46904-2244

Phone number

(765) 453-9600

Established

Firm type

Fiscal year end

# of Employees

150

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	14,029
AUM (Assets Under Management)	$ 2,478,773,967

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/22/2024	Cover Page	Report
01/05/2024	Cover Page	Report
01/10/2023	Cover Page	Report

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. Koontz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CFD INVESTMENTS, INC.

FARMERS FINANCIAL SOLUTIONS, LLC

TRIUMPH WEALTH ADVISORS, INC.

TAYLOR CAPITAL MANAGEMENT INC.

WOODSTOCK FINANCIAL GROUP, INC.

WOODSTOCK FINANCIAL GROUP, INC.

AMERITAS INVESTMENT COMPANY, LLC

WOODBURY FINANCIAL SERVICES, INC.

FBL MARKETING SERVICES, LLC

Primary Firm SEC Registration

CREATIVE FINANCIAL DESIGNS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/21/2008

Series 63

Date: 1/19/1999

SIE

Date: 10/1/2018

Series 7

Date: 6/16/2008

Series 6

Date: 1/29/1999

Current Firm

CREATIVE FINANCIAL DESIGNS, INC.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CREATIVE FINANCIAL DESIGNS, INC.

TRUST BUT VERIFY

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