DS
David V. Scott
AXIOM FINANCIAL STRATEGIES GROUP
NEW ALBANY, IN 47150
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CRD#: 3178836
DS
Professional summary
David Vaughan Scott Jr, CPWA®, who also goes by David Vaughan Scott Jr, Vaughan Scott Jr, Vaughan Scott, Vaughan Scott Jr Jr, David Vaughan Scott, is a registered financial advisor currently at AXIOM FINANCIAL STRATEGIES GROUP, LLC located in New Albany, Indiana.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. David has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Vaughan Scott Jr | Vaughan Scott Jr | Vaughan Scott | Vaughan Scott Jr Jr | David Vaughan Scott
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.
NIOTAZE LLC 100% OWNER (holding company for most of the entities listed below); START 10/31/2016; 4 hrs/month ; 4 hrs during trading; DUTIES: Holding company and funding other activities listed below. SPRING STREET SOLUTIONS: Title: 30% Owner; Investment Related; Address: 101 W Spring Street, 5thFloor, New Albay, IN 47150; Nature of Business- Insurance and Executive Compensation Structuring; Hours Per Month: 8-10; Hours per month during security tradinghours: 6-8; Start Date 04/2020 NEXT CHAPTER INSTITUTE, LLC; not investment related; New Albany, IN; 100% OWNER; START DATE 12/14/2018; NUMBER OF HOURS PER MONTH 10; NUMBER OF HOURS DURING TRADING 6; Develops intellectual property, seeks speaking engagements, licensing opportunities and other opportunities for collaboration around helping individuals, teams, non-profit organizations, and companies to become more adaptive and resilient to change. NEXT CHAPTER MANAGEMENT, LLC AND NEXT CHAPTER CONSULTING, LLC.; not investment related; New Albany, IN;100% Owner; expand opportunities for Next Chapter and to provide consulting services; START: 5/2019; up to 10 HRS/MO; 10 during trading when applicable. SYNTRAXX, LLC 74% OWNER; not investment related; New Albany, IN, START12/17/12; 10-15 hours per months; 10 hours during trading. (holding company that owns 100% of SNOW & SCOTT ENTERPRISES LLC and DIGIJUMP SALES & MARKETING, LLC); not investment related; New Albany, IN; SNOW & SCOTT ENTERPRISES LLC COMPANY company develops and owns intellectual property for the athletic training and rehabilitation industry; START 06/01/2001; 10 hours per months; 4 hours during trading hours; duties include coordinating and reviewing research, discussing equipment designs with partners and talking to and obtaining feeback from prospective licensees, customers, and other companies in the industry. DIGIJUMP SALES & MARKETING LLC, not investment related, New Albany, IN, START 1/1/2002, 6 hours per month, 2 hours during trading, athletic training and rehabilitation device development and sales. FAMILY FIRM INSTITUTE GLOBAL EDUCATION NETWORK; not investment related; Boston, MA; Faculty Member; START 01/01/2020; 1 hour per month; seldom during trading; duties include teaching online courses to students in FFI's GEN programs. UNIVERSITY OF LOUISVILLE; not investment related; Louisville, KY; Certificate Director in Family Business Management & Advising; Started 05/15/2017; Number of hours/mo 20; during trading 5; teaching graduate students, recruiting faculty and overseeing the development of the Family Business Management & Advising graduate and other programs. COLLABORATION FOR FAMILY FLOURISHING, not investment related, Bloomfield, NJ, Communications Committee Member 10/1/2019, 1 hour per month, during trading; attending committee meetings. FAMILY CAPITAL 100, not investment related, MELBOURNE, AUSTRALIA, Global independent alliance of specialist family business advisors providing guidance to family offices, family enterprises and generational families of wealth. 03/01/2020. Up to 20 hours per month during trading. MORGAN AND SCOTT ENTERPRISES: TITLE: MEMBER; not investment related, New Albany, IN 47150; holds club membership; 0 hrs per month; START DATE = 10/31/20
CRS (Client Relationship Summary) - RIA
Click below to view David Vaughan Scott Jr's 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®
CPWA®
Start date: 2015-10-22
Expire date: 2023-09-30
Experience
Current
February 27, 2020 - Present
AXIOM FINANCIAL STRATEGIES GROUP, LLC
Office #1: 101 W. Spring Street 5th Floor, New Albany, IN 47150RIA
CRD#: 306618
NEW ALBANY, IN
Past
March 27, 2009 - March 3, 2020
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
NEW ALBANY, IN
Past
March 27, 2009 - March 3, 2020
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
NEW ALBANY, IN
Past
June 12, 2003 - April 15, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
NEW ALBANY, IN
Past
April 1, 2003 - April 15, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW ALBANY, IN
Past
August 14, 2000 - April 16, 2003
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
LOUISVILLE, KY
Past
August 14, 2000 - April 16, 2003
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
March 12, 1999 - August 14, 2000
J.C. BRADFORD & CO.
BD
CRD#: 1287
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".
AF
AXIOM FINANCIAL STRATEGIES GROUP, LLC
AXIOM FINANCIAL STRATEGIES GROUP, LLC
CRD#: 306618 / SEC#: 801-117878
RIA
Registered Investment Advisory firm - (1/2/2020 Approved)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
Indiana(2/27/2020)
IAR
Texas(4/20/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AF
AXIOM FINANCIAL STRATEGIES GROUP, LLC
AXIOM FINANCIAL STRATEGIES GROUP, LLC
CRD#: 306618 / SEC#: 801-117878
RIA
Registered Investment Advisory firm - (1/2/2020 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
101 W. Spring Street 5th Floor, New Albany, IN 47150
Mailing Address
Phone number
(812) 913-7701
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,414 |
| AUM (Assets Under Management) | $ 372,850,842 |
Red Flags
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Company Information
AXIOM FINANCIAL STRATEGIES GROUP, LLC
CRD#: 306618New Albany, IN 47150TRUST BUT VERIFY
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