Scott R. Butterfield

Some features on this profile are disabled

CRD#: 3213167

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 R. Butterfield was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 2000. Scott had worked at 7 firms and has passed the Series 66, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

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)

QUELLOS PRIVATE CAPITAL MARKETS, L.P.

RIA

CRD#: 135935

SEATTLE, WA

Past

February 9, 2001 - March 15, 2004

QUELLOS FIXED INCOME ADVISORS LLC

RIA

CRD#: 108912

SEATTLE, WA

Past

February 9, 2001 - April 6, 2006

QUELLOS CAPITAL MANAGEMENT LP

RIA

CRD#: 106683

SEATTLE, WA

Past

October 9, 2000 - October 24, 2005

CFT SECURITIES, LLC

CRD#: 46226

PRINCETON, NJ

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".

LNW

CRD#: 113400 / SEC#: 801-60345

RIA

Registered Investment Advisory firm - (6/8/2001 Approved)

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: 11/22/2000

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 10/6/2000

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 3/4/1999

National Commodity Futures Examination

Current Firm

LNW

CRD#: 113400 / SEC#: 801-60345

RIA

Registered Investment Advisory firm - (6/8/2001 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

801 Second Avenue, Suite 1600, Seattle, WA 98104-1564

Mailing Address

Phone number

(206) 464-5100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LNW WEALTH MANAGMENT LLC - PART 2A ANNUAL UPDATE MARCH 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,463
AUM (Assets Under Management)	$ 4,526,284,775

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Scott R. Butterfield

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FILAMENT, LLC

FILAMENT, LLC

QUELLOS FUND SERVICES, LLC

QUELLOS PRIVATE CAPITAL MARKETS, L.P.

QUELLOS FIXED INCOME ADVISORS LLC

QUELLOS CAPITAL MANAGEMENT LP

CFT SECURITIES, LLC

Primary Firm SEC Registration

LNW

State Registrations and Notice Filings

Exams

Series 66

Date: 11/22/2000

Series 7

Date: 10/6/2000

Series 3

Date: 3/4/1999

Current Firm

LNW

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LNW

TRUST BUT VERIFY

Similar Advisors