Scott R. Tischler
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 Ryan Tischler was a registered financial advisor .
Scott is a previously registered financial advisor and started their career in finance in 1999. Scott had worked at 7 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2006 - October 8, 2007
NEXT FINANCIAL GROUP, INC.
December 19, 2006 - October 8, 2007
NEXT FINANCIAL GROUP, INC.
January 3, 2006 - December 20, 2006
OSAIC WEALTH, INC.
December 16, 2005 - December 20, 2006
OSAIC WEALTH, INC.
March 24, 2005 - December 20, 2005
UBS FINANCIAL SERVICES INC.
March 24, 2005 - December 20, 2005
UBS FINANCIAL SERVICES INC.
July 15, 2002 - January 21, 2005
MSI FINANCIAL SERVICES, INC.
June 20, 2002 - January 21, 2005
METROPOLITAN LIFE INSURANCE COMPANY
June 20, 2002 - January 21, 2005
MSI FINANCIAL SERVICES, INC.
October 7, 1999 - June 19, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
September 15, 1999 - June 19, 2002
IDS LIFE INSURANCE COMPANY
September 15, 1999 - June 19, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
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
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
