Scott A. Markle
Professional summary
Scott Alexander Markle was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Scott is a previously registered financial professional and started their career in finance in 2007. Prior to being barred, Scott had worked at 5 firms, which includes AVANTAX ADVISORY SERVICES, AVANTAX INVESTMENT SERVICES INC., LPL FINANCIAL LLC, MORGAN STANLEY, MORGAN STANLEY & CO. LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2016 - August 14, 2017
AVANTAX ADVISORY SERVICES
October 31, 2016 - August 14, 2017
AVANTAX INVESTMENT SERVICES, INC.
December 17, 2014 - November 3, 2016
LPL FINANCIAL LLC
December 17, 2014 - November 3, 2016
LPL FINANCIAL LLC
June 1, 2009 - January 12, 2015
MORGAN STANLEY
June 1, 2009 - January 12, 2015
MORGAN STANLEY
June 26, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
June 1, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 |
Red Flags
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