Scott M. Lindsay

ROCK HARBOR CAPITAL LLC

Birmingham, MI 48009

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CRD#: 4959213

Professional summary

Scott Matthew Lindsay, who also goes by Scott M Lindsay, is a registered financial advisor currently at ROCK HARBOR CAPITAL LLC located in Birmingham, Michigan and FORESIDE FUND SERVICES, LLC located in Birmingham, 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 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Scott M Lindsay

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) Rock Harbor, LLC; Birmingham, MI; Investment Related - Yes; Started 08/01/2022; Investment product distribution (MF, ETF); COO/Head Of Distribution; Manage existing asset manager relationships Manage internal and external wholesalers Sales to approved intermediaries; 160 hours per month with 0 hours during securities trading hours. In addition to being an Investment Advisor Representative of Rock Harbor, LLC, this associate is a Registered Representative of FORESIDE FUND SERVICES, LLC, an unaffiliated Broker Dealer. The associate is a Registered Representative for purposes of FORESIDE FUND SERVICES, LLC,. 3) Rock Harbor Capital, LLC; Investment Related; Birmingham, MI; Market Separately Managed Accounts; Investment Advisor Representative; Start Date 8/2023, 40 hours per month; Market and distribute separately managed accounts 4) BD Wolf, LLC; Not Investment Related; LLC for Commission paid by Rock Harbor; Grosse Pointe Park, MI; 3/15/2024; Owner; LLC for commissions paid out by Foreside; 5Hrs/Mo.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Matthew Lindsay'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

September 22, 2023 - Present

ROCK HARBOR CAPITAL LLC

Office #1: 390 Park Street Suite 250, Birmingham, MI 48009

RIA

CRD#: 327728

Birmingham, MI

Current

September 2, 2022 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 390 Park Street Suite 250, Birmingham, MI 48009

CRD#: 46106

Birmingham, MI

Past

June 29, 2016 - August 25, 2022

EATON VANCE MANAGEMENT

RIA

CRD#: 104859

BOSTON, MA

Past

May 17, 2016 - August 25, 2022

EATON VANCE DISTRIBUTORS, INC.

CRD#: 37731

BOSTON, MA

Past

November 6, 2007 - May 10, 2016

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

CRD#: 25567

NEW YORK, NY

Past

August 29, 2007 - November 5, 2007

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

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

Kansas
(2/12/2024)

Massachusetts
(3/1/2024)

Michigan
(9/2/2022)

IAR

Michigan
(9/22/2023)

Missouri
(3/1/2024)

Nebraska
(2/12/2024)

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: 11/14/2007

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: 8/28/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ROCK HARBOR CAPITAL LLC

CRD#: 327728 / SEC#:

Michigan

Registered Investment Advisory firm - (9/14/2023 Approved)

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Contact information

Main Address

390 Park Street Suite 250, Birmingham, MI 48009

Mailing Address

Phone number

(248) 283-3060

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Scott M. Lindsay

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Matthew Lindsay's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROCK HARBOR CAPITAL LLC

FORESIDE FUND SERVICES, LLC

EATON VANCE MANAGEMENT

EATON VANCE DISTRIBUTORS, INC.

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

UBS SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/14/2007

SIE

Date: 10/1/2018

Series 7

Date: 8/28/2007

FINRA

Current Firm

ROCK HARBOR CAPITAL LLC

Contact information

Documents

Red Flags

Company Information

ROCK HARBOR CAPITAL LLC

TRUST BUT VERIFY

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