Scot E. Elrod
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.
Scot Everett Elrod, who also goes by Scot E Elrod, was a registered financial professional .
Scot is a previously registered financial professional and started their career in finance in 2007. Scot had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2010 - April 15, 2015
WESTHILL FINANCIAL ADVISORS, INC.
September 5, 2007 - October 6, 2010
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
June 25, 2007 - April 17, 2015
CAMBRIDGE INVESTMENT RESEARCH, INC.
Primary Firm SEC Registration
WESTHILL FINANCIAL ADVISORS, INC.
CRD#: 152506 / SEC#: 801-71005
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
WESTHILL FINANCIAL ADVISORS, INC.
CRD#: 152506 / SEC#: 801-71005
Contact information
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,212 |
| AUM (Assets Under Management) | $ 684,408,148 |
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.
