Scott A. Richardson

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CRD#: 4964980

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Scott Andrew Richardson, AIF®, CFP®, who also goes by Scott Richardson, was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 2005. Scott had worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Scott Richardson

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2022

Experience

Past

May 19, 2017 - July 18, 2018

DALE BUCKNER, INC.

RIA

CRD#: 116342

AMARILLO, TX

Past

April 1, 2009 - April 27, 2017

DALE BUCKNER, INC.

RIA

CRD#: 116342

AMARILLO, TX

Past

May 24, 2007 - July 9, 2018

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

AMARILLO, TX

Past

July 25, 2005 - April 10, 2007

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

AMARILLO, TX

Past

July 14, 2005 - April 10, 2007

A. G. EDWARDS & SONS, INC.

CRD#: 4

AMARILLO, TX

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".

DALE BUCKNER, INC.

CRD#: 116342 / SEC#: 801-110346

RIA

Registered Investment Advisory firm - (4/25/2017 Approved)

Texas

Registered Investment Advisory firm - (4/27/2017 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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/22/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 7/9/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/13/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/1/2011

General Securities Principal Examination

Current Firm

DALE BUCKNER, INC.

CRD#: 116342 / SEC#: 801-110346

RIA

Registered Investment Advisory firm - (4/25/2017 Approved)

Texas

Registered Investment Advisory firm - (4/27/2017 Terminated)

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Contact information

Main Address

301 S. Polk Suite 420, Amarillo, TX 79101

Mailing Address

P.o. Box 9700, Amarillo, TX 79105-9700

Phone number

+1 (806) 358-7977

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DALE BUCKNER, INC. (4/17/2025)

BRETT HANSEN SUPPLEMENT TO BROCHURE (3/28/2025)

DALE BUCKNER SUPPLEMENT TO BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	837
AUM (Assets Under Management)	$ 167,538,733

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 A. Richardson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DALE BUCKNER, INC.

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

DALE BUCKNER, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/22/2005

SIE

Date: 7/9/2018

Series 7

Date: 7/13/2005

Series 24

Date: 8/1/2011

Current Firm

DALE BUCKNER, INC.

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DALE BUCKNER, INC.

TRUST BUT VERIFY

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