Scott A. Wargo

INVESTMENT DISTRIBUTORS

Covington, KY 41011

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CRD#: 4476964

Professional summary

Scott Arthur Wargo, who also goes by Scott Arthur Wargo, is a registered financial professional currently at INVESTMENT DISTRIBUTORS, INC. located in Covington, Kentucky.

Scott is registered as a RR (Registered Representative) and started their career in finance in 2002. Scott has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 55 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Scott Arthur Wargo

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) - BD

Click below to view Scott Arthur Wargo'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®

None

Experience

Current

October 11, 2022 - Present

INVESTMENT DISTRIBUTORS, INC.

Office #1: 50 E Rivercenter Blvd Suite 1600, Covington, KY 41011

CRD#: 35490

Covington, KY

Past

October 21, 2022 - December 31, 2024

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

Monroe, CT

Past

May 23, 2016 - December 16, 2019

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

Monroe, CT

Past

May 23, 2016 - December 16, 2019

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

WAVERLY, IA

Past

November 20, 2006 - May 11, 2016

AST INVESTMENT SERVICES, INC.

RIA

CRD#: 108897

SHELTON, CT

Past

November 7, 2006 - May 11, 2016

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570

SHELTON, CT

Past

April 7, 2004 - August 8, 2006

WEBSTER INVESTMENT SERVICES, INC.

RIA

CRD#: 46588

STAMFORD, CT

Past

April 7, 2004 - August 8, 2006

WEBSTER INVESTMENT SERVICES, INC.

CRD#: 46588

STAMFORD, CT

Past

September 13, 2002 - March 10, 2004

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

GREENWICH, CT

Past

July 29, 2002 - March 10, 2004

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(10/12/2022)

Virginia
(1/3/2024)

Exams

State Security Law Exam

IAR

Series 65

Date: 9/12/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/4/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 1/10/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/26/2002

General Securities Representative Examination

General Industry/Product Exam

Series 55

Date: 3/13/2002

Limited Representative-Equity Trader Exam

SRO Registrations

FINRA

Current Firm

INVESTMENT DISTRIBUTORS, INC.

CRD#: 35490 / SEC#: , 8-46802

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

2801 Highway 280 South, Birmingham, AL 35223

Mailing Address

2801 Highway 280 South, Birmingham, AL 35223

Phone number

(205) 868-3073

Established

Tennessee since 08/30/1993

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
PROTECTIVE LIFE CORPORATION	PARENT COMPANY
CARLSON, MARTHA L	DESIGNATED RESPONSIBLE LICENSED PRODUCER	2731502
COFFMAN, BENJAMIN PAUL	CHIEF FINANCIAL OFFICER	6738662
COLLAZO, KIMBERLY	ASSISTANT SECRETARY	8075061
CREUTZMANN, SCOTT EMIL	DIRECTOR	5351383
LANE, JAMIE LAURA	DIRECTOR	5779720
LEE, FELICIA MALLOCH	SECRETARY	7498538
MCCRELESS, KEVIN LUCIUS	CHIEF COMPLIANCE OFFICER	5180100
MORSCH, LETITIA A	DIRECTOR & ASSISTANT SECRETARY	5133531
TENNENT, RAYBURN EDWARD	SR ANALYST FINANCIAL REPORTING	6245099
WAGNER, JAMES CARL JR	PRESIDENT & DIRECTOR	4261922

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Scott A. Wargo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Scott Arthur Wargo's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

AST INVESTMENT SERVICES, INC.

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

WEBSTER INVESTMENT SERVICES, INC.

WEBSTER INVESTMENT SERVICES, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/12/2002

Series 63

Date: 3/4/2002

SIE

Date: 10/1/2018

Series 31

Date: 1/10/2003

Series 7

Date: 7/26/2002

Series 55

Date: 3/13/2002

FINRA

Current Firm

INVESTMENT DISTRIBUTORS, INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

INVESTMENT DISTRIBUTORS, INC.

TRUST BUT VERIFY

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