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Scott Frederick Spranklin

CRD# 5148033·Registered 2006 - 2015
Previously Registered: Being a previously registered professional could mean that Scott 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.

Professional Summary

Scott Frederick Spranklin was a registered financial advisor. Scott was a previously registered financial professional and started their career in finance 2006 - 2015. Scott had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

20 years in the financial services industry

Current & Past Employments

PLANNING SOLUTIONS GROUP, LLC·CRD# 154118
RIA
Fulton, MD
September 22, 2014 - January 13, 2015
TRIAD ADVISORS LLC·CRD# 25803
BD
Maple Lawn, MD
September 18, 2014 - January 14, 2015
PRUCO SECURITIES, LLC.·CRD# 5685
RIA
Hunt Valley, MD
November 17, 2006 - September 16, 2014
PRUCO SECURITIES, LLC.·CRD# 5685
BD
Newark, NJ
June 6, 2006 - September 16, 2014

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Current Firm

PS
PLANNING SOLUTIONS GROUP, LLC

BRAMPTON ASSET MANAGEMENT, LLC | PSG CLARITY | PLANNING SOLUTIONS GROUP, LLC

CRD#: 154118 / SEC#: 801-71722

Contact Information

Main Address

8161 Maple Lawn Blvd Suite 400, Fulton, MD 20759

Documents

Latest Form ADV

Part 2 Brochures

20180307 PART 2A BROCHURE (4/25/2019)

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Nov 2006About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 2006About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Jan 2015About the SIE exam

Series 7 — General Securities Representative Examination

Passed May 2014About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Jun 2006About the Series 6 exam

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CRS (Client Relationship Summary)

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

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