Scott A. Herrmann

Some features on this profile are disabled

CRD#: 5311456

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 Andrew Herrmann was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 2007. Scott had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 3 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 3, 2015 - September 19, 2016

WAYCROSS PARTNERS, LLC

RIA

CRD#: 153838

LOUISVILLE, KY

Past

August 22, 2011 - April 9, 2015

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

June 12, 2007 - March 8, 2011

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CRD#: 102920

LOUISVILLE, KY

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".

WAYCROSS PARTNERS, LLC

CRD#: 153838 / SEC#: 801-81041

RIA

Registered Investment Advisory firm - (3/3/2015 Approved)

Kentucky

Registered Investment Advisory firm - (7/21/2015 Terminated)

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 65

Date: 8/3/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/10/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/9/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/20/2010

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/11/2007

General Securities Representative Examination

Current Firm

WAYCROSS PARTNERS, LLC

CRD#: 153838 / SEC#: 801-81041

RIA

Registered Investment Advisory firm - (3/3/2015 Approved)

Kentucky

Registered Investment Advisory firm - (7/21/2015 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

4965 U.s. Highway 42, Suite 2900, Louisville, KY 40222

Mailing Address

Phone number

(502) 410-1900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WAYCROSS PARTNERS, LLC 2025 ANNUAL ADV PART 2A (3/29/2025)

Regulatory assets under management

Total Number of Accounts	48
AUM (Assets Under Management)	$ 865,502,469

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Scott A. Herrmann

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

Primary Firm SEC Registration

WAYCROSS PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/3/2015

Series 63

Date: 7/10/2007

SIE

Date: 4/9/2015

Series 3

Date: 9/20/2010

Series 7

Date: 6/11/2007

Current Firm

WAYCROSS PARTNERS, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WAYCROSS PARTNERS, LLC

TRUST BUT VERIFY

Similar Advisors