George C. Scott

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CRD#: 416994

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.

George Cole Scott III, who also goes by George Cole Scott, was a registered financial professional .

George is a previously registered financial professional and started their career in finance in 1970. George had worked at 6 firms and has passed the Series 65, Series 63, PC, Series 000 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

George Cole 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.

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

November 7, 1996 - November 13, 2023

CEF ADVISORS

RIA

CRD#: 115562

RICHMOND, VA

Past

July 14, 1988 - May 29, 2009

ANDERSON & STRUDWICK, INCORPORATED

CRD#: 48

RICHMOND, VA

Past

December 10, 1987 - June 1, 1988

LARA, SHULL & MAY, LTD

CRD#: 10556

Past

September 1, 1982 - December 22, 1987

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

Past

September 18, 1978 - August 23, 1982

PIPER SANDLER & CO.

CRD#: 665

Past

September 19, 1973 - October 11, 1978

SCOTT & STRINGFELLOW, INC.

CRD#: 3309

Past

March 19, 1970 - October 14, 1973

ANDERSON & STRUDWICK, INCORPORATED

CRD#: 48

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".

CEF ADVISORS

CEF ADVISORS | CLOSED-END FUND ADVISORS INC. | CLOSED-END FUND ADVISORS

CRD#: 115562 / SEC#: 801-113697

RIA

Registered Investment Advisory firm - (7/26/2018 Approved)

Louisiana

Registered Investment Advisory firm - (12/9/2015 Terminated)

Michigan

Registered Investment Advisory firm - (8/10/2018 Terminated)

Texas

Registered Investment Advisory firm - (8/9/2018 Terminated)

Virginia

Registered Investment Advisory firm - (8/13/2018 Terminated)

Washington

Registered Investment Advisory firm - (9/9/2018 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 65

Date: 4/25/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/10/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

PC

Date: 6/10/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 000

Date: 7/30/1970

General Securities Principal Examination

General Industry/Product Exam

Series 1

Date: 3/4/1970

Registered Representative Examination

Current Firm

CEF ADVISORS

CEF ADVISORS | CLOSED-END FUND ADVISORS INC. | CLOSED-END FUND ADVISORS

CRD#: 115562 / SEC#: 801-113697

RIA

Registered Investment Advisory firm - (7/26/2018 Approved)

Louisiana

Registered Investment Advisory firm - (12/9/2015 Terminated)

Michigan

Registered Investment Advisory firm - (8/10/2018 Terminated)

Texas

Registered Investment Advisory firm - (8/9/2018 Terminated)

Virginia

Registered Investment Advisory firm - (8/13/2018 Terminated)

Washington

Registered Investment Advisory firm - (9/9/2018 Terminated)

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Contact information

Main Address

7204 Glen Forest Drive Suite #105, Richmond, VA 23226

Mailing Address

Phone number

(804) 288-2482

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A (8/15/2025)

Regulatory assets under management

Total Number of Accounts	164
AUM (Assets Under Management)	$ 186,613,242

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

George C. Scott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ANDERSON & STRUDWICK, INCORPORATED

LARA, SHULL & MAY, LTD

FIRST UNION CAPITAL MARKETS CORP.

PIPER SANDLER & CO.

SCOTT & STRINGFELLOW, INC.

ANDERSON & STRUDWICK, INCORPORATED

Primary Firm SEC Registration

CEF ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 4/25/1994

Series 63

Date: 3/10/1981

PC

Date: 6/10/1977

Series 000

Date: 7/30/1970

Series 1

Date: 3/4/1970

Current Firm

CEF ADVISORS

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CEF ADVISORS

TRUST BUT VERIFY

Contact information

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