Scott Mason Fitzgerald JR., CFP, CLU | Financial Professional | Augusta, Georgia

Professional summary

Scott Mason Fitzgerald JR., CFP®, CLU® is a registered financial advisor currently at CWM, LLC located in Augusta, Georgia.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Scott has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 9/2018 APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 10 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES, AND LONG-TERM CARE 2. NAME OF OTHER BUSINESS: BOARD OF FELLOWSHIP OF CHRISTIAN ATHLETES INVESTMENT RELATED: NO ADDRESS: 3203 WASHINGTON ROAD, AUGUSTA, GA 30907 NATURE OF BUSINESS: CHRISTIAN BASED ATHLETE MINISTRY START DATE: 1/2008 POSITION/TITLE/RELATIONSHIP: BOARD MEMBER SINCE 2007 APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: BOARD MEMBER 3. NAME OF OTHER BUSINESS: TRUSTEE SERVICES INVESTMENT RELATED: NO ADDRESS: 1005 HALALI SPRINGS ROAD, EVANS, GA, 30809 NATURE OF BUSINESS: PROVIDE TRUSTEE SERVICES FOR SISTER FOR HER TRUST THAT WAS SET UP BY MOTHER START DATE: 2013 POSITION/TITLE/RELATIONSHIP: TRUSTEE APX NUMBER OF HOURS PER WEEK: LESS THAN AN HOUR APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: INVEST ASSETS, TAKE CARE OF ANY ACCOUNTING OR LEGAL BILLS OR SERVICES. DISBURSE CASH WHEN CALLED FOR BY THE TRUST DIRECTLY TO MY SISTER OR TO PAY ABOVE SERVICES 4. NAME OF BUSINESS: BELMONT LAND CLUB, LLC NATURE: RECREATIONAL HUNTING CLUB START: 6/1/2021 POSITION: MEMBER APPX. HRS/MONTH: 1 % APPX HRS/MONTH DURING TRADING HOURS: 0 DUTIES: MEMBER RESPONSIBILITIES 5. NAME OF BUSINESS: Golden Harvest Food Bank NATURE: Food Bank START: 1/3/2022 POSITION: Board Member APPX. HRS/MONTH: 3 % APPX HRS/MONTH DURING TRADING HOURS: 5 DUTIES: Attend meetings. Do charity work. Help raise money for ongoing projects, monthly expenses. 6. NAME OF BUSINESS: Scott M. Fitzgerald, LLC NATURE: LLC for tax purposes START: 7/4/2022 POSITION: Owner APPX. HRS/MONTH: 5 % APPX HRS/MONTH DURING TRADING HOURS: 5 DUTIES: Maintain deposits and withdrawals from personal LLC for tax purposes. 7. NAME OF BUSINESS: Fitzgerald and Sullivan Real Estate, LLC NATURE: Real Estate START: 1/11/2023 POSITION: Organizer APPX. HRS/MONTH: 1 % APPX HRS/MONTH DURING TRADING HOURS: 1 DUTIES: Collect rents and write checks to partners at year end.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Mason Fitzgerald JR.'s CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2004

CLU^®

Chartered Life Underwriter

Experience

Current

November 14, 2018 - Present

CWM, LLC

Office #1: 140 Cooper Drive 2nd Floor, Augusta, GA, 30907

RIA

CRD#: 155344

Augusta, GA

Past

November 13, 2018 - November 7, 2019

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

AUGUSTA, GA

Past

November 13, 2018 - November 7, 2019

CETERA WEALTH SERVICES, LLC

BD

CRD#: 13572

AUGUSTA, GA

Past

January 26, 2010 - November 13, 2018

TLG ADVISORS, INC.

RIA

CRD#: 111052

AUGUSTA, GA

Past

January 19, 2010 - November 13, 2018

THE LEADERS GROUP, INC.

BD

CRD#: 37157

Augusta, GA

Past

March 17, 2003 - February 2, 2010

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

EVANS, GA

Past

July 1, 2002 - February 2, 2010

PRUCO SECURITIES, LLC.

BD

CRD#: 5685

EVANS, GA

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".

CL

CWM, LLC

CRD#: 155344 / SEC#: 801-72037

RIA

Registered Investment Advisory firm - (1/3/2011 Approved)

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

Georgia
(11/14/2018)

IAR

Louisiana
(11/21/2023)

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: 10/30/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 7/11/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 5/14/2003

General Securities Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 6/27/2002

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CL

CWM, LLC

CRD#: 155344 / SEC#: 801-72037

RIA

Registered Investment Advisory firm - (1/3/2011 Approved)

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Contact information

Main Address

14600 Branch St., Omaha, NE 68154

Mailing Address

Phone number

(402) 330-0808

Established

Firm type

Fiscal year end

# of Employees

1,314

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CWM, LLC ADV PART 2A (7/9/2025)

CWM, LLC APPENDIX WRAP PROGRAM (5/8/2025)

Regulatory assets under management

Total Number of Accounts	124,944
AUM (Assets Under Management)	$ 33,775,526,748

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 M. Fitzgerald

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Mason Fitzgerald JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

TLG ADVISORS, INC.

THE LEADERS GROUP, INC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

CWM, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/30/2002

Series 63

Date: 7/11/2002

SIE

Date: 10/1/2018

Series 7

Date: 5/14/2003

Series 6

Date: 6/27/2002

Current Firm

CWM, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CWM, LLC

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