Scott Owen Conwell
CFP®Professional Summary
Scott Owen Conwell, CFP®, who also goes by Scott O Conwell, Scott Owen Conwell, is a registered financial advisor currently at HARBOUR INVESTMENTS, INC. located in Madison, Wisconsin. Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Scott has worked at 8 firms and has passed the Series 66, Series 7TO, SIE, Series 7, Series 24 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Scott O Conwell, Scott Owen Conwell
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Credentials
Years of Experience
26 years in the financial services industry
Current & Past Employments
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Contact Information
Main Address
575 D'onofrio Drive Suite 300, Madison, WI 53719Mailing Address
575 D'onofrio Drive Suite 300, Madison, WI 53719Phone Number
(608) 662-6100Established
Wisconsin since 01/22/1987Firm Type
CorporationFiscal Year End
DecemberFirm Size
Medium# of Employees
232SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SONDEL, NICK WILLIAM | CHIEF EXECUTIVE OFFICER | 1261064 |
| CONWELL, SCOTT OWEN | CHIEF COMPLIANCE OFFICER | 4238913 |
| DUSHEK, JAMES WALTER | VICE PRESIDENT OF OPERATIONS | 4323103 |
| HAGER, AARON MICHAEL | PRESIDENT | 5017811 |
| KOPITZKE, KYLE LEE | DIRECTOR OF TRANSITIONS & PARTNERSHIPS | 5675560 |
| MEDLAND, RICHARD ONEILL | DIRECTOR OF SUPERVISION | 2748242 |
| MEYER, RHONDA LEE | SENIOR VICE PRESIDENT & CHIEF OPERATING OFFICER, FINOP | 2285226 |
| NELLES, JULIE MARIE | VP OF ADVISORY OPERATIONS & SERVICES | 4771824 |
| WIPPERFURTH, DANIEL THOMAS | VICE PRESIDENT OF ADVISOR DEVELOPMENT | 4029404 |
Regulatory Assets Under Management
Total Number of Accounts
44,629AUM (Assets Under Management)
$9,599,102,688Disclosures
Regulatory Event
3Bond
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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.
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Primary Firm SEC Registration
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State Registrations and Notice Filings
(1/24/2024)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Aug 2007About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Scott Owen Conwell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Scott Owen Conwell's CRS (Customer Relationship Summary).
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