Scott A. Sandee

VERTEX PARTNERS

Downers Grove, IL 60515

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CRD#: 4605342

Professional summary

Scott Andrew Sandee, CFP®, CIMA®, CPWA®, who also goes by Scott Sandee, is a registered financial advisor currently at VERTEX PARTNERS located in Downers Grove, Illinois.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Scott has worked at 9 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Scott Sandee

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.

Compass Research and Strategy, not investment related, address is 836 Chestnut Ave., Wilmette, IL 60091, nature of business is Market Research Consulting, not an employee - no position or title. Start date was when the company was founded in 2007. Devote 1-2 hours per month on the weekends, 0 hours devoted during securities trading hours, duties include bookkeeping.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Andrew Sandee'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: 2009

CIMA^®

Certified Investment Management Analyst

CPWA^®

Certified Private Wealth Advisor

Start date: 2014-10-27

Expire date: 2024-03-31

Experience

Current

January 18, 2023 - Present

VERTEX PARTNERS

Office #1: 3000 Woodcreek Drive Suite 100, Downers Grove, IL 60515

RIA

CRD#: 316839

Downers Grove, IL

Past

July 28, 2021 - January 13, 2023

OXFORD FINANCIAL GROUP, LTD

RIA

CRD#: 105303

Chicago, IL

Past

July 1, 2021 - July 20, 2021

CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.

RIA

CRD#: 312837

LOS ANGELES, CA

Past

October 18, 2018 - July 1, 2021

CAPITAL BANK AND TRUST COMPANY

RIA

CRD#: 170017

Chicago, IL

Past

May 11, 2015 - August 9, 2016

BMO HARRIS FINANCIAL ADVISORS, INC.

CRD#: 137115

WINNETKA, IL

Past

March 25, 2010 - October 17, 2011

VISION INVESTMENT SERVICES, INC.

CRD#: 46609

WINNETKA, IL

Past

March 8, 2010 - March 26, 2015

NORTHERN TRUST SECURITIES, INC.

CRD#: 7927

WINNETKA, IL

Past

September 13, 2005 - March 1, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NORTHBROOK, IL

Past

September 13, 2005 - March 1, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NORTHBROOK, IL

Past

January 28, 2003 - August 29, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

CHICAGO, IL

Past

January 2, 2003 - August 29, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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".

VERTEX PARTNERS

VERTEX PARTNERS | VERTEX PLANNING PARTNERS, LLC

CRD#: 316839 / SEC#: 801-122980

RIA

Registered Investment Advisory firm - (1/3/2022 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

Illinois
(1/18/2023)

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 66

Date: 1/27/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/9/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 2/14/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/30/2002

General Securities Representative Examination

Current Firm

VERTEX PARTNERS

VERTEX PARTNERS | VERTEX PLANNING PARTNERS, LLC

CRD#: 316839 / SEC#: 801-122980

RIA

Registered Investment Advisory firm - (1/3/2022 Approved)

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Contact information

Main Address

3000 Woodcreek Drive Suite 100, Downers Grove, IL 60515

Mailing Address

Phone number

(630) 836-3300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE PROGRAM BROCHURE FOR VERTEX PARTNERS (2/26/2025)

DISCLOSURE BROCHURE FOR VERTEX PARTNERS (2/26/2025)

Regulatory assets under management

Total Number of Accounts	2,374
AUM (Assets Under Management)	$ 827,936,305

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. Sandee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Andrew Sandee's CRS (Customer Relationship Summary).

Certified licenses

Experience

OXFORD FINANCIAL GROUP, LTD

CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.

CAPITAL BANK AND TRUST COMPANY

BMO HARRIS FINANCIAL ADVISORS, INC.

VISION INVESTMENT SERVICES, INC.

NORTHERN TRUST SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

VERTEX PARTNERS

State Registrations and Notice Filings

Exams

Series 66

Date: 1/27/2003

SIE

Date: 8/9/2016

Series 31

Date: 2/14/2003

Series 7

Date: 12/30/2002

Current Firm

VERTEX PARTNERS

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VERTEX PARTNERS

TRUST BUT VERIFY

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