Scott R. Carty

OLIVER LAGORE VANVALIN INVESTMENT GROUP

LIVONIA, MI 48152

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CRD#: 4800449

Professional summary

Scott Richard Carty, CFP® is a registered financial advisor currently at OLIVER LAGORE VANVALIN INVESTMENT GROUP, INC. located in Livonia, Michigan and AE FINANCIAL SERVICES, LLC located in Flint, Michigan.

Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Scott has worked at 10 firms and has passed the Series 63, Series 65, Series 66, SIE and Series 7 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.) OLV INVESTMENT GROUP; YES INVESTMENT RELATED; 607 E. SECOND AVE, SUITE 100 FLINT, MI 48502; INSURANCE SALES; FINANCIAL ADVISOR; STARTDATE 09/2018; APPROX 130 HRS/MONTH; APPROX 130 HRS/MONTH DURING TRADING; INSURANCE SALES AND SERVICES. 2.) SCOTT CARTY, 17199 LAUREL PARK DRIVE, SUITE 409 LIVONIA MI 48152, FIXED INSURANCE AND FIXED INDEXED ANNUITY SALES, COMMISSIONS, START DATE: 11/2012, 160 HRS PER MONTH. 3.) Volunteer Coach, Plymouth Christian Academy, no income and puts about 80 hours a month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Richard Carty'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: 2018

Experience

Current

April 28, 2021 - Present

OLIVER LAGORE VANVALIN INVESTMENT GROUP, INC.

Office #1: 38705 Seven Mile Road Suite 155, Livonia, MI 48152

RIA

CRD#: 312989

LIVONIA, MI

Current

April 29, 2021 - Present

AE FINANCIAL SERVICES, LLC

Office #1: 607 E 2nd Ave Suite 100, Flint, MI 48502

CRD#: 298608

Flint, MI

Past

January 10, 2019 - April 29, 2021

SIGMA FINANCIAL CORPORATION

CRD#: 14303

LIVONIA, MI

Past

August 31, 2018 - April 29, 2021

SPC

RIA

CRD#: 110692

Flint, MI

Past

August 2, 2016 - October 31, 2018

CARTY CAPITAL MANAGEMENT

RIA

CRD#: 284563

LIVONIA, MI

Past

March 30, 2015 - August 4, 2016

INSIGHT FOLIOS

RIA

CRD#: 174411

LIVONIA, MI

Past

December 11, 2013 - April 20, 2015

RETIREMENTADVICE | JKA

RIA

CRD#: 153803

LIVONIA, MI

Past

May 8, 2013 - June 4, 2013

INTEGRITY ALLIANCE, LLC.

CRD#: 139627

URBANDALE, IA

Past

November 9, 2012 - May 2, 2013

KALOS CAPITAL, INC.

CRD#: 44337

PLYMOUTH, MI

Past

October 15, 2008 - November 12, 2012

INVESTACORP, INC.

CRD#: 7684

PLYMOUTH, MI

Past

December 7, 2007 - October 15, 2008

SIGMA FINANCIAL CORPORATION

CRD#: 14303

PLYMOUTH, MI

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".

OLIVER LAGORE VANVALIN INVESTMENT GROUP, INC.

CFG ADVISORS | OLV TAX SERVICES | OLV INVESTMENT GROUP, INC. | OLIVER LAGORE VANVALIN INVESTMENT GROUP, INC. | CLARK FINANCIAL GROUP, LLC

CRD#: 312989 / SEC#: 801-120957

RIA

Registered Investment Advisory firm - (4/26/2021 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

Arizona
(4/29/2021)

California
(4/29/2021)

Florida
(4/29/2021)

Illinois
(4/29/2021)

Indiana
(4/29/2021)

IAR

Michigan
(4/28/2021)

Michigan
(4/30/2021)

Minnesota
(11/29/2021)

New York
(4/29/2021)

North Carolina
(4/29/2021)

Ohio
(4/29/2021)

Pennsylvania
(4/29/2021)

South Carolina
(4/29/2021)

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

Series 63

Date: 2/22/2019

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/7/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 1/22/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 1/11/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/10/2019

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

OLIVER LAGORE VANVALIN INVESTMENT GROUP, INC.

CFG ADVISORS | OLV TAX SERVICES | OLV INVESTMENT GROUP, INC. | OLIVER LAGORE VANVALIN INVESTMENT GROUP, INC. | CLARK FINANCIAL GROUP, LLC

CRD#: 312989 / SEC#: 801-120957

RIA

Registered Investment Advisory firm - (4/26/2021 Approved)

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Contact information

Main Address

607 East Second Avenue Suite 100, Flint, MI 48502

Mailing Address

Phone number

(810) 744-4450

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (21 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (3/28/2025)

WRAP BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	4,606
AUM (Assets Under Management)	$ 607,147,202

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 R. Carty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Richard Carty's CRS (Customer Relationship Summary).

Certified licenses

Experience

AE FINANCIAL SERVICES, LLC

SIGMA FINANCIAL CORPORATION

SPC

CARTY CAPITAL MANAGEMENT

INSIGHT FOLIOS

RETIREMENTADVICE | JKA

INTEGRITY ALLIANCE, LLC.

KALOS CAPITAL, INC.

INVESTACORP, INC.

SIGMA FINANCIAL CORPORATION

Primary Firm SEC Registration

OLIVER LAGORE VANVALIN INVESTMENT GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/22/2019

Series 65

Date: 12/7/2013

Series 66

Date: 1/22/2008

SIE

Date: 1/11/2019

Series 7

Date: 1/10/2019

FINRA

Current Firm

OLIVER LAGORE VANVALIN INVESTMENT GROUP, INC.

Contact information

SEC notice filing (21 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OLIVER LAGORE VANVALIN INVESTMENT GROUP, INC.

TRUST BUT VERIFY

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