Kimberly J. Scott

VIRTUS INVESTMENT ADVISERS

Hartford, CT 06103

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CRD#: 4854976

Professional summary

Kimberly Jean Scott, who also goes by Kimberly J Scott, Kimberly Scott, is a registered financial advisor currently at VIRTUS INVESTMENT ADVISERS, LLC located in Hartford, Connecticut and VP DISTRIBUTORS LLC located in Hartford, Connecticut.

Kimberly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Kimberly has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kimberly J Scott | Kimberly 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 Kimberly Jean 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 5, 2012 - Present

VIRTUS INVESTMENT ADVISERS, LLC

Office #1: One Financial Plaza 26th Floor, Hartford, CT 06103

RIA

CRD#: 106982

Hartford, CT

Current

November 5, 2012 - Present

VP DISTRIBUTORS LLC

Office #1: One Financial Plaza, Hartford, CT 06103

CRD#: 3036

Hartford, CT

Past

May 18, 2011 - October 19, 2012

PEOPLE'S SECURITIES, INC.

RIA

CRD#: 13704

WETHERSFIELD, CT

Past

May 11, 2011 - October 19, 2012

PEOPLE'S SECURITIES, INC.

CRD#: 13704

WETHERSFIELD, CT

Past

July 6, 2010 - May 4, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

HARTFORD, CT

Past

July 2, 2010 - May 4, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

HARTFORD, CT

Past

December 9, 2009 - July 23, 2010

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

WETHERSFIELD, CT

Past

December 5, 2009 - July 23, 2010

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

WETHERSFIELD, CT

Past

May 27, 2009 - November 23, 2009

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

MANCHESTER, CT

Past

January 3, 2005 - April 3, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

EAST HARTFORD, CT

Past

December 10, 2004 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

December 10, 2004 - April 3, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

EAST HARTFORD, CT

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".

VIRTUS INVESTMENT ADVISERS, LLC

PHOENIX INVESTMENT COUNSEL, INC | VIRTUS INVESTMENT ADVISERS, LLC | VIRTUS INVESTMENT ADVISERS, INC.

CRD#: 106982 / SEC#: 801-5995

RIA

Registered Investment Advisory firm - (9/17/1969 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

Connecticut
(11/5/2012)

IAR

Connecticut
(11/5/2012)

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 66

Date: 12/20/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/9/2004

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

VIRTUS INVESTMENT ADVISERS, LLC

PHOENIX INVESTMENT COUNSEL, INC | VIRTUS INVESTMENT ADVISERS, LLC | VIRTUS INVESTMENT ADVISERS, INC.

CRD#: 106982 / SEC#: 801-5995

RIA

Registered Investment Advisory firm - (9/17/1969 Approved)

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Contact information

Main Address

One Financial Plaza 26th Floor, Hartford, CT 06103

Mailing Address

Phone number

(800) 248-7971

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	105
AUM (Assets Under Management)	$ 53,982,609,839

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

Kimberly J. Scott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kimberly Jean Scott's CRS (Customer Relationship Summary).

Certified licenses

Experience

VP DISTRIBUTORS LLC

PEOPLE'S SECURITIES, INC.

PEOPLE'S SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

ALLSTATE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

VIRTUS INVESTMENT ADVISERS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/20/2004

SIE

Date: 10/1/2018

Series 7

Date: 12/9/2004

FINRA

Current Firm

VIRTUS INVESTMENT ADVISERS, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

VIRTUS INVESTMENT ADVISERS, LLC

TRUST BUT VERIFY

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