JS
John C. Scott
CEF ADVISORS
Richmond, VA 23226
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CRD#: 4364191
JS
Professional summary
John Cole Scott is a registered financial advisor currently at CEF ADVISORS located in Richmond, Virginia.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. John has worked at 2 firms and has passed the Series 66, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view John Cole Scott's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 21, 2001 - Present
CEF ADVISORS
Office #1: 7204 Glen Forest Drive Suite #105, Richmond, VA 23226RIA
CRD#: 115562
Richmond, VA
Past
May 21, 2001 - May 29, 2009
ANDERSON & STRUDWICK, INCORPORATED
BD
CRD#: 48
RICHMOND, VA
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".
CA
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)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Virginia(6/21/2001)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CA
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)Upgrade to AdvisorCheck Premium
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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
5
SEC notice filing (8 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 164 |
| AUM (Assets Under Management) | $ 186,613,242 |
Red Flags
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Company Information
CEF ADVISORS
CRD#: 115562Richmond, VA 23226TRUST BUT VERIFY
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