John W. Scott
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.
John Walter Scott III, who also goes by John Walter Scott, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1970. John had worked at 9 firms and has passed the Series 63, SIE, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 26, 2004 - November 1, 2017
FIRST HEARTLAND CONSULTANTS, INC.
May 18, 2004 - November 1, 2017
FIRST HEARTLAND CAPITAL, INC.
February 7, 1995 - May 25, 2004
WS GRIFFITH SECURITIES, INC.
June 7, 1993 - May 25, 2004
WS GRIFFITH SECURITIES, INC.
March 8, 1984 - June 7, 1993
VP DISTRIBUTORS LLC
September 3, 1982 - February 13, 1984
INTEGRATED RESOURCES EQUITY CORPORATION
December 28, 1981 - February 27, 1984
LINCOLN NATIONAL PENSION INSURANCE COMPANY
May 3, 1972 - February 27, 1984
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
May 3, 1972 - February 27, 1984
OSAIC FA, INC.
January 16, 1970 - May 17, 1972
1717 CAPITAL MANAGEMENT COMPANY
Primary Firm SEC Registration
FIRST HEARTLAND CONSULTANTS, INC.
CRD#: 110377 / SEC#: 801-46595
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
Series 1
Date: 1/13/1970
Registered Representative ExaminationSeries 40
Date: 6/6/1977
Registered Principal ExaminationCurrent Firm
FIRST HEARTLAND CONSULTANTS, INC.
CRD#: 110377 / SEC#: 801-46595
Contact information
SEC notice filing (52 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 9,231 |
| AUM (Assets Under Management) | $ 1,771,078,009 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/13/2025 | ||
| 08/12/2024 | ||
| 12/07/2023 |
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.
