Scott C. Connor
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 Cook Connor, CFP® was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1999. Scott had worked at 7 firms and has passed the Series 66, Series 63, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2001
Experience
January 10, 2017 - July 6, 2021
CI DOYLE PRIVATE WEALTH, LLC
March 18, 2011 - May 29, 2013
HOLLAND ADVISORY SERVICES, INC.
October 23, 2009 - February 8, 2011
JACKSON WEALTH MANAGEMENT, LLC
October 6, 2009 - February 8, 2011
TRIAD ADVISORS LLC
April 9, 2009 - October 2, 2009
VALIC FINANCIAL ADVISORS, INC.
March 30, 2009 - October 2, 2009
VALIC FINANCIAL ADVISORS, INC.
February 6, 2003 - December 9, 2008
CHARLES SCHWAB & CO., INC.
April 21, 1999 - December 9, 2008
CHARLES SCHWAB & CO., INC.
February 4, 1999 - April 30, 1999
LEGACY FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CI DOYLE PRIVATE WEALTH, LLC
CRD#: 134503 / SEC#: 801-64034
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,534 |
| AUM (Assets Under Management) | $ 1,621,791,478 |
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.
