Scott C. Maslowski

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CRD#: 5144589

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 Carl Maslowski was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 2006. Scott had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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 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®

None

Experience

Past

August 23, 2016 - December 31, 2020

ASSOCIATED INVESTMENT SERVICES, INC.

CRD#: 1464

PLYMOUTH, MN

Past

July 28, 2014 - August 18, 2016

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

BURNSVILLE, MN

Past

January 4, 2010 - September 27, 2013

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAINT PAUL, MN

Past

May 16, 2007 - December 24, 2009

SIGNATOR INVESTORS, INC.

CRD#: 468

MAPLE GROVE, MN

Past

November 14, 2006 - March 6, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

NEW BRIGHTON, MN

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".

ASSOCIATED INVESTMENT SERVICES, INC.

CRD#: 1464 / SEC#: 801-71639, 8-99

RIA

Registered Investment Advisory firm - SEC (7/1/2010 Approved)

Illinois

Registered Investment Advisory firm - SEC (7/1/2010 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (7/21/2010 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (7/20/2010 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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: 8/15/2006

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: 11/13/2006

General Securities Representative Examination

Current Firm

ASSOCIATED INVESTMENT SERVICES, INC.

CRD#: 1464 / SEC#: 801-71639, 8-99

RIA

Registered Investment Advisory firm - SEC (7/1/2010 Approved)

Illinois

Registered Investment Advisory firm - SEC (7/1/2010 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (7/21/2010 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (7/20/2010 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

433 Main Street, Green Bay, WI 54301-5114

Mailing Address

P.o. Box 640, Green Bay, WI 54305-0640

Phone number

(800) 595-7722

Established

Wisconsin since 03/23/1923

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (19 States and Territories)

FINRA licenses (50 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

2025-08-29 FORM ADV (8/29/2025)

Direct owners and executive officers

Name	Position	CRD#
ASSOCIATED TRUST COMPANY, N.A.	SOLE SHAREHOLDER
ARNOLD, ANDREW JAMES	DIRECTOR, TREASURER	7744204
BIESE, JUSTIN MICHAEL	PRINCIPAL, FINANCIAL REPORTING	8134423
CRAVILLION, BETH ANN	DIRECTOR OF SUPPORT SERVICES	4770231
DELOYE, DENNIS MICHAEL	DIRECTOR, BOARD OF DIRECTORS	7555524
HLADIO, JAYNE CLARA	DIRECTOR, BOARD OF DIRECTORS	2497546
HOCHHOLZER, MICHAEL ROBERT	DIRECTOR, BOARD OF DIRECTORS	2878493
KUIPERS, MICHAEL DAVID	DIRECTOR, PRESIDENT & CEO	2436388
PECORA, ANTHONY PHILIP	CHIEF COMPLIANCE OFFICER	2975013
SORENSON, HEATH WILLIAM	CHAIRMAN, BOARD OF DIRECTORS	4528655
ZANDPOUR, STEVEN SIA	DIRECTOR, BOARD OF DIRECTORS	7174720

Regulatory assets under management

Total Number of Accounts	5,050
AUM (Assets Under Management)	$ 1,000,633,569

Disclosures

Regulatory Event	2
Arbitration	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/15/2025	Cover Page	Report
09/26/2024	Cover Page	Report
08/21/2023	Cover Page	Report
10/19/2022	Cover Page	Report

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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Firm Stability Insights

Scott C. Maslowski

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CUNA BROKERAGE SERVICES, INC.

U.S. BANCORP INVESTMENTS, INC.

SIGNATOR INVESTORS, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

ASSOCIATED INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/15/2006

SIE

Date: 10/1/2018

Series 7

Date: 11/13/2006

Current Firm

ASSOCIATED INVESTMENT SERVICES, INC.

Contact information

SEC notice filing (19 States and Territories)

FINRA licenses (50 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

ASSOCIATED INVESTMENT SERVICES, INC.

TRUST BUT VERIFY

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