Scott D. Spears

SYMPHONY FINANCIAL SERVICES

AKRON, OH 44333

Some features on this profile are disabled

CRD#: 4683260

Professional summary

Scott Douglas Spears is a registered financial advisor currently at SYMPHONY FINANCIAL SERVICES, INC. located in Akron, Ohio and LPL FINANCIAL LLC located in Akron, Ohio.

Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. 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. 11/05/07 - SYMPHONY FINANACIAL SERVICES -DBA - AKRON OH 2.03/19/2009-REGISTERED INVESTMENT ADVISOR-SYMPHONY FINANCIAL SERVICES, INC. ASSET MANAGEMENT AND FINANCIAL PLANNING (HYBRID RIA)

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Douglas Spears'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®

None

Experience

Current

February 19, 2009 - Present

SYMPHONY FINANCIAL SERVICES, INC.

Office #1: 529 N Cleveland Massillon Rd. Suite 200, Akron, OH 44333

RIA

CRD#: 125058

AKRON, OH

Current

November 5, 2007 - Present

LPL FINANCIAL LLC

Office #1: 4100 Embassy Parkway Ste 100, Akron, OH 44333-1783

RIA

CRD#: 6413

Akron, OH

Past

November 6, 2007 - July 16, 2010

LPL FINANCIAL LLC

RIA

CRD#: 6413

AKRON, OH

Past

March 2, 2005 - November 5, 2007

M HOLDINGS SECURITIES, INC.

RIA

CRD#: 43285

AKRON, OH

Past

March 1, 2005 - November 5, 2007

M HOLDINGS SECURITIES, INC.

CRD#: 43285

AKRON, OH

Past

February 14, 2005 - August 3, 2006

FAMILY WEALTH COUNSELORS, INC. (NOT "WAELTH")

RIA

CRD#: 119970

CLEVELAND, OH

Past

February 2, 2004 - March 4, 2005

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

AKRON, OH

Past

December 19, 2003 - March 4, 2005

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

July 31, 2003 - January 7, 2004

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

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".

SYMPHONY FINANCIAL SERVICES, INC.

CRD#: 125058 / SEC#: 801-63300

RIA

Registered Investment Advisory firm - (6/24/2004 Approved)

Ohio

Registered Investment Advisory firm - (3/17/2010 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Arizona
(10/4/2011)

Colorado
(6/10/2010)

Florida
(11/5/2007)

Indiana
(11/5/2007)

Kentucky
(11/5/2007)

Maryland
(11/5/2007)

Ohio
(11/5/2007)

IAR

Ohio
(2/19/2009)

Oklahoma
(11/12/2012)

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: 1/28/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/10/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/28/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/30/2003

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

SYMPHONY FINANCIAL SERVICES, INC.

CRD#: 125058 / SEC#: 801-63300

RIA

Registered Investment Advisory firm - (6/24/2004 Approved)

Ohio

Registered Investment Advisory firm - (3/17/2010 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

4100 Embassy Parkway Suite 100, Akron, OH 44333

Mailing Address

Phone number

(330) 434-2000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A: FIRM BROCHURE (3/14/2025)

Regulatory assets under management

Total Number of Accounts	1,254
AUM (Assets Under Management)	$ 376,086,940

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.

Similar Advisors

James Magyari

COMMONWEALTH FINANCIAL NETWORK

IAR

Solon, OH

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Scott D. Spears

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Douglas Spears's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

M HOLDINGS SECURITIES, INC.

M HOLDINGS SECURITIES, INC.

FAMILY WEALTH COUNSELORS, INC. (NOT "WAELTH")

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

LPL FINANCIAL LLC

Primary Firm SEC Registration

SYMPHONY FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/28/2005

Series 63

Date: 9/10/2003

SIE

Date: 10/1/2018

Series 7

Date: 1/28/2004

Series 6

Date: 7/30/2003

FINRA

Current Firm

SYMPHONY FINANCIAL SERVICES, INC.

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SYMPHONY FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

Similar Advisors