Shawn M. Scott

TOUCHSTONE ADVISORS

CINCINNATI, OH 45202-4203

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CRD#: 4673623

Professional summary

Shawn Michael Scott, who also goes by Shawn Scott, is a registered financial advisor currently at TOUCHSTONE ADVISORS INC located in Cincinnati, Ohio and W&S BROKERAGE SERVICES, INC. located in Cincinnati, Ohio.

Shawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Shawn has worked at 9 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Shawn Scott

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) - RIA

Click below to view Shawn Michael 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®

None

Experience

Current

November 26, 2014 - Present

TOUCHSTONE ADVISORS INC

Office #1: 303 Broadway Suite 1100, Cincinnati, OH 45202-4203

RIA

CRD#: 107028

CINCINNATI, OH

Current

October 23, 2018 - Present

W&S BROKERAGE SERVICES, INC.

Office #1: 303 Broadway 16th Floor, Cincinnati, OH 45202

RIA

CRD#: 8099

Cincinnati, OH

Current

July 19, 2013 - Present

TOUCHSTONE SECURITIES, INC.

Office #1: 303 Broadway Suite 1100, Cincinnati, OH 45202

CRD#: 1526

CINCINNATI, OH

Current

June 23, 2016 - Present

W&S BROKERAGE SERVICES, INC.

Office #1: 303 Broadway 16th Floor, Cincinnati, OH 45202

RIA

CRD#: 8099

Cincinnati, OH

Past

August 26, 2013 - August 4, 2014

W&S BROKERAGE SERVICES, INC.

CRD#: 8099

CINCINNATI, OH

Past

January 23, 2013 - July 18, 2013

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CINCINNATI, OH

Past

November 26, 2012 - January 23, 2013

NATIONAL PLANNING CORPORATION

CRD#: 29604

FLORENCE, KY

Past

February 9, 2009 - September 5, 2012

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

February 9, 2009 - September 6, 2012

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

Past

February 9, 2009 - September 6, 2012

INVESTMENT CENTERS OF AMERICA, INC.

CRD#: 16443

APPLETON, WI

Past

December 17, 2004 - August 28, 2012

NATIONAL PLANNING CORPORATION

CRD#: 29604

SANTA MONICA, CA

Past

August 12, 2003 - November 19, 2004

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, 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".

TOUCHSTONE ADVISORS INC

CRD#: 107028 / SEC#: 801-45963

RIA

Registered Investment Advisory firm - (2/28/1994 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.

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

Kentucky
(7/19/2013)

Ohio
(7/19/2013)

IAR

Ohio
(11/26/2014)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/29/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/23/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/11/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 3/29/2007

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 1/26/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

TOUCHSTONE ADVISORS INC

CRD#: 107028 / SEC#: 801-45963

RIA

Registered Investment Advisory firm - (2/28/1994 Approved)

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Contact information

Main Address

303 Broadway Suite 1100, Cincinnati, OH 45202-4203

Mailing Address

Phone number

(513) 362-8000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	41
AUM (Assets Under Management)	$ 29,132,797,072

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

Shawn M. Scott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shawn Michael Scott's CRS (Customer Relationship Summary).

Certified licenses

Experience

W&S BROKERAGE SERVICES, INC.

TOUCHSTONE SECURITIES, INC.

W&S BROKERAGE SERVICES, INC.

W&S BROKERAGE SERVICES, INC.

FIFTH THIRD SECURITIES, INC.

NATIONAL PLANNING CORPORATION

INVEST FINANCIAL CORPORATION

SII INVESTMENTS, INC.

INVESTMENT CENTERS OF AMERICA, INC.

NATIONAL PLANNING CORPORATION

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

TOUCHSTONE ADVISORS INC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/29/2014

Series 63

Date: 9/23/2003

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/11/2003

Series 53

Date: 3/29/2007

Series 24

Date: 1/26/2005

FINRA

Current Firm

TOUCHSTONE ADVISORS INC

Contact information

SEC notice filing (1 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

TOUCHSTONE ADVISORS INC

TRUST BUT VERIFY

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