Scott A. Mcclatchey
BALLAST ROCK PRIVATE WEALTH
Carlsbad, CA
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CRD#: 5116709
Professional summary
Scott Alan Mcclatchey, CFP® is a registered financial advisor currently at BALLAST ROCK PRIVATE WEALTH located in Carlsbad, California.
Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Scott has worked at 4 firms and has passed the 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.
-The name of the other business: Ballast Rock Private Wealth, -Whether the business is investment-related: yes, - The address of the other business 460 King Str. Ste 200 Charleston, SC 29401, - Nature of the other business - Insurance, -Your position, title, or relationship with the other business: Senior Wealth Advisor, -The start date of your relationship: 10/23/2023, -The approximate number of hours/month you devote to the other business: 5hrs/month are devoted to this business activity,-The number of hours you devote to the other business during securities trading hours: 2hrs/month are devoted during securities trading hours. -Briefly describe your duties relating to the other business: As part of my client service with BRPW, I am a licensed independent life and health insurance agent, discussing and sometimes writing life insurance and/or LTC insurance policies, and/or annuities. Carlsbad Rotary Foundation, Yes; Rotary Club of Carlsbad, PO Box 34 Carlsbad, CA, 92018; Endowed charitable foundation; Treasurer; Treasurer; 06/01/2025; 2-3hrs; 0hrs; Manage the investment account by rebalancing, as needed, and raising cash annually prior to funding of scholarships. The treasurer follows an Investment Policy Statement specifying an allocation model, which is developed and approved by the Foundation's president.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Alan Mcclatchey'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®
CFP®
Start date: 2011
Experience
Current
October 27, 2023 - Present
BALLAST ROCK PRIVATE WEALTH
RIA
CRD#: 322064
Carlsbad, CA
Past
April 28, 2017 - October 24, 2023
WWM FINANCIAL
RIA
CRD#: 157620
Carlsbad, CA
Past
December 14, 2007 - May 11, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
CARBONDALE, IL
Past
December 14, 2007 - May 11, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
CARBONDALE, IL
Past
June 19, 2006 - December 18, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
MARION, IL
Past
March 23, 2006 - December 18, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
MARION, IL
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".
BR
BALLAST ROCK PRIVATE WEALTH
BALLAST ROCK PRIVATE WEALTH | BALLAST ROCK PRIVATE WEALTH LLC
CRD#: 322064 / SEC#: 801-129645
RIA
Registered Investment Advisory firm - (3/8/2024 Approved)South Carolina
Registered Investment Advisory firm - (3/20/2024 Terminated)Texas
Registered Investment Advisory firm - (3/20/2024 Terminated)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.Highlighted states indicate IAR registrations
IAR
California(6/18/2025)
IAR
South Carolina(6/18/2025)
IAR
Texas(10/27/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
BR
BALLAST ROCK PRIVATE WEALTH
BALLAST ROCK PRIVATE WEALTH | BALLAST ROCK PRIVATE WEALTH LLC
CRD#: 322064 / SEC#: 801-129645
RIA
Registered Investment Advisory firm - (3/8/2024 Approved)South Carolina
Registered Investment Advisory firm - (3/20/2024 Terminated)Texas
Registered Investment Advisory firm - (3/20/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
460 King Street Suite 200, Charleston, SC 29403
Mailing Address
Phone number
(800) 204-2513
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 528 |
| AUM (Assets Under Management) | $ 238,200,333 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
