Scott C. Wauters

GATEWAY WEALTH PARTNERS

Cape Coral, FL

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CRD#: 5151860

Professional summary

Scott Carl Wauters, AIF® is a registered financial advisor currently at GATEWAY WEALTH PARTNERS, LLC located in Cape Coral, Florida and LPL FINANCIAL LLC located in Cape Coral, Florida.

Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Scott has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

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) - RIA

Click below to view Scott Carl Wauters's CRS (Customer Relationship Summary).

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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

October 6, 2022 - Present

GATEWAY WEALTH PARTNERS, LLC

Office #2: 2929 B. Palmyra Road, Hannibal, MO 63401Office #3: 100 W. Lawrence Street Suite 304, Appleton, WI 54911

RIA

CRD#: 322789

Cape Coral, FL

Current

November 17, 2017 - Present

LPL FINANCIAL LLC

Office #2: 100 W Lawrence St Ste 304, Appleton, WI 54911-0000

RIA

CRD#: 6413

CAPE CORAL, FL

Past

April 18, 2025 - July 13, 2026

LPL FINANCIAL LLC

RIA

CRD#: 6413

APPLETON, WI

Past

December 7, 2017 - December 31, 2022

ADVISORS' PRIDE INC.

RIA

CRD#: 170669

Appleton, WI

Past

August 1, 2012 - November 20, 2017

BMO HARRIS FINANCIAL ADVISORS, INC.

RIA

CRD#: 137115

GREEN BAY, WI

Past

August 1, 2012 - November 20, 2017

BMO HARRIS FINANCIAL ADVISORS, INC.

CRD#: 137115

GREEN BAY, WI

Past

April 19, 2012 - August 1, 2012

M&I FINANCIAL ADVISORS, INC

RIA

CRD#: 16517

GREEN BAY, WI

Past

April 29, 2010 - April 18, 2012

M&I INVESTMENT MANAGEMENT CORP.

RIA

CRD#: 109802

MILWAUKEE, WI

Past

April 30, 2008 - March 31, 2010

M&I FINANCIAL ADVISORS, INC

RIA

CRD#: 16517

GREEN BAY, WI

Past

September 26, 2007 - August 1, 2012

M&I FINANCIAL ADVISORS, INC

CRD#: 16517

GREEN BAY, WI

Past

July 27, 2006 - July 27, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

BROOKFIELD, WI

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".

GATEWAY WEALTH PARTNERS, LLC

CRD#: 322789 / SEC#: 801-126635

RIA

Registered Investment Advisory firm - (9/26/2022 Approved)

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

Colorado
(9/30/2022)

Florida
(11/17/2017)

IAR

Florida
(11/2/2023)

Georgia
(11/28/2023)

Illinois
(5/11/2018)

Iowa
(11/28/2023)

Kansas
(11/28/2023)

Michigan
(11/17/2017)

Minnesota
(12/1/2022)

Missouri
(4/13/2022)

Montana
(11/28/2023)

North Carolina
(10/25/2023)

South Carolina
(4/13/2022)

Texas
(1/20/2022)

Virginia
(8/30/2021)

West Virginia
(11/8/2022)

Wisconsin
(11/17/2017)

IAR

Wisconsin
(10/6/2022)

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: 9/13/2006

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: 7/26/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

GATEWAY WEALTH PARTNERS, LLC

CRD#: 322789 / SEC#: 801-126635

RIA

Registered Investment Advisory firm - (9/26/2022 Approved)

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Contact information

Main Address

100 W. Lawrence Street Suite 304, Appleton, WI 54911

Mailing Address

Phone number

(920) 731-9293

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (32 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GATEWAY WEALTH PARTNERS, LLC WRAP PROGRAM BROCHURE (10/3/2025)

GATEWAY DISCLOSURE BROCHURE (10/3/2025)

Regulatory assets under management

Total Number of Accounts	5,702
AUM (Assets Under Management)	$ 1,249,772,416

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 C. Wauters

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Carl Wauters's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

ADVISORS' PRIDE INC.

BMO HARRIS FINANCIAL ADVISORS, INC.

BMO HARRIS FINANCIAL ADVISORS, INC.

M&I FINANCIAL ADVISORS, INC

M&I INVESTMENT MANAGEMENT CORP.

M&I FINANCIAL ADVISORS, INC

M&I FINANCIAL ADVISORS, INC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

GATEWAY WEALTH PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/13/2006

SIE

Date: 10/1/2018

Series 7

Date: 7/26/2006

FINRA

Current Firm

GATEWAY WEALTH PARTNERS, LLC

Contact information

SEC notice filing (32 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GATEWAY WEALTH PARTNERS, LLC

TRUST BUT VERIFY

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