Scott J. Schlegel

PLANO, TX 75024

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CRD#: 5321133

Professional summary

Scott Jeffrey Schlegel, CFP® was a registered financial advisor .

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Scott had worked at 3 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1) Licensed insurance agent; Investment-related; Same address; Insurance sales; Implementation of insurance recommendations; Approx. 5% of time during the month.

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®

CFP^®

Certified Financial Planner

Experience

Current

October 2, 2025 - Present

Office #1: 7160 Dallas Parkway Suite 230, Plano, TX 75024

PLANO, TX

Past

February 3, 2011 - October 7, 2025

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

Plano, TX

Past

December 3, 2009 - June 29, 2018

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

PLANO, TX

Past

April 18, 2007 - October 12, 2009

LEE FINANCIAL COMPANY, LLC

RIA

CRD#: 105910

DALLAS, TX

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.

Highlighted states indicate IAR registrations

IAR

Texas
(10/2/2025)

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

Series 63

Date: 1/31/2010

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/5/2007

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 6/29/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/1/2009

General Securities Representative Examination

Current firm

No current employment

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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Scott J. Schlegel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

LEE FINANCIAL COMPANY, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/31/2010

Series 65

Date: 4/5/2007

SIE

Date: 6/29/2018

Series 7

Date: 12/1/2009

Current firm

No current employment

Red Flags

Company Information

No current employment

TRUST BUT VERIFY

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