SR
Scott E. Register
REGISTER FINANCIAL ADVISORS
Atlanta, GA 30326
Some features on this profile are disabled
CRD#: 5239767
SR
Professional summary
Scott Edward Register, who also goes by Scott Registre, is a registered financial advisor currently at REGISTER FINANCIAL ADVISORS, LLC located in Atlanta, Georgia and REGISTER FINANCIAL ASSOCIATES, INC. located in Atlanta, Georgia.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Scott has worked at 5 firms and has passed the Series 66, Series 52TO, Series 99TO, Series 82TO, Series 79TO, SIE, Series 87, Series 7, Series 27, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Scott Registre
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.
1. REGISTER FINANCIAL ASSOCIATES, 3500 LENOX RD, ATLANTA, GA, YES INVESTMENT RELATED, SALARY BASED, FINANCIAL SERVICES, TITLE: PRINCIPAL/FINOP START DATE 10/19/2006, 105 HRS/MONTH 65HRS OF THE 105 DURING TRADING HOURS, PRINCIPAL OF FIRM, OVERSEE COMPLIANCE AND GENERAL OPERATIONS.
2. REGISTER FINANCIAL ADVISOR, 3500 LENOX RD, ATLANTA, GA, YES INVESTMENT RELATED, SALARY BASED, FINANCIAL SERVICES, TITLE: PRINCIPAL/CCO START DATE 10/19/2006, 80 HRS/MONTH 50HRS OF THE 80 DURING TRADING HOURS, CCO OF FIRM, OVERSEE COMPLIANCE AND GENERAL OPERATIONS.
3. REGISTER CAPITAL INVESTMENTS LLC, 3500 LENOX RD, ATLANTA, GA, YES INVESTMENT RELATED, NATURE OF BUSINESS: SMALL CAP PORTFOLIO STOCKS, CFO STARTED 2/1/18, 10 HOURS/MONTH DURING SECURITIES TRADING HOURS, DUTIES TO REVIEW STOCK PORTFOLIO.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Edward Register'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®
NoneExperience
Current
December 14, 2007 - Present
REGISTER FINANCIAL ADVISORS, LLC
Office #1: 3500 Lenox Road Suite 1700, Atlanta, GA 30326RIA
CRD#: 143884
Atlanta, GA
Current
November 9, 2006 - Present
REGISTER FINANCIAL ASSOCIATES, INC.
Office #1: 3500 Lenox Road Suite 1700, Atlanta, GA 30326BD
CRD#: 30568
Atlanta, GA
Past
February 2, 2012 - December 31, 2013
REAGAN SECURITIES, INC.
BD
CRD#: 156034
ATLANTA, GA
Past
May 7, 2008 - November 17, 2008
LAFISE SECURITIES LLC
BD
CRD#: 115624
MIAMI, FL
Past
April 25, 2008 - March 26, 2010
CERTUSSECURITIES, INC.
BD
CRD#: 144051
ATLANTA, GA
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".
RF
REGISTER FINANCIAL ADVISORS, LLC
REGISTER & AKERS ADVISORY SERVICES, LLC. | REGISTER FINANCIAL ADVISORS, LLC | REGISTER AND AKERS MANAGEMENT SERVICES, LLC
CRD#: 143884 / SEC#: 801-81190
RIA
Registered Investment Advisory firm - (4/17/2015 Approved)Alabama
Registered Investment Advisory firm - (4/22/2015 Terminated)Florida
Registered Investment Advisory firm - (4/17/2015 Terminated)Georgia
Registered Investment Advisory firm - (6/25/2015 Terminated)Louisiana
Registered Investment Advisory firm - (8/14/2015 Terminated)North Carolina
Registered Investment Advisory firm - (4/17/2015 Terminated)Texas
Registered Investment Advisory firm - (4/17/2015 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.RR
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
RR
Arizona(3/22/2010)
IAR
Georgia(12/14/2007)
RR
Georgia(3/26/2008)
RR
Illinois(3/22/2010)
RR
Kentucky(1/8/2018)
RR
Michigan(1/2/2018)
RR
New Hampshire(12/7/2023)
RR
Ohio(3/23/2010)
RR
Oregon(5/10/2018)
RR
Texas(6/6/2024)
RR
Washington(1/5/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RF
REGISTER FINANCIAL ADVISORS, LLC
REGISTER & AKERS ADVISORY SERVICES, LLC. | REGISTER FINANCIAL ADVISORS, LLC | REGISTER AND AKERS MANAGEMENT SERVICES, LLC
CRD#: 143884 / SEC#: 801-81190
RIA
Registered Investment Advisory firm - (4/17/2015 Approved)Alabama
Registered Investment Advisory firm - (4/22/2015 Terminated)Florida
Registered Investment Advisory firm - (4/17/2015 Terminated)Georgia
Registered Investment Advisory firm - (6/25/2015 Terminated)Louisiana
Registered Investment Advisory firm - (8/14/2015 Terminated)North Carolina
Registered Investment Advisory firm - (4/17/2015 Terminated)Texas
Registered Investment Advisory firm - (4/17/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3500 Lenox Road Suite 1700, Atlanta, GA 30326
Mailing Address
Phone number
(404) 364-2180
Established
Firm type
Fiscal year end
# of Employees
19
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 835 |
| AUM (Assets Under Management) | $ 396,907,109 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
