SW
Scott T. Waechter
CODE WAECHTER LLC
Tampa, FL 33609
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CRD#: 5365962
SW
Professional summary
Scott Thomas Waechter, CFP® is a registered financial advisor currently at CODE WAECHTER LLC located in Tampa, Florida.
Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Scott has worked at 2 firms and has passed the Series 66, 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. NAME: CODE SMITH BENEFITS, LLC..INV REL: YES..ADDR: 4830 W. KENNEDY BLVD ONE URBAN CENTRE TAMPA FL..NATURE: INSURANCE SALES.. POSITION: SALES/EMPLOYEE..START DATE: 06/2007..HRS/MO: 25..HRS/DURING TRADING: 15 DUTIES: SALES & SERVICE OF EMPLOYEE BENEFITS/INSURANCE.;
2. CONDO RENTAL PROPERTY..INV.REL: YES..ADDR: 5429 LAKE MARGARET DR. #H, ORLANDO FL 32812..NATURE: CONDO RENTAL..POSITION: OWNER..START DATE: 07/2010..HRS/MO: 1..HRS/DURING TRADING: 0..DUTIES: EMPLOY RENTAL MANAGEMENT COMPANY TO COLLECT RENT.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Thomas Waechter'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®
CFP®
Start date: 2010
Experience
Current
January 12, 2018 - Present
CODE WAECHTER LLC
Office #1: 4830 W. Kennedy Blvd., Tampa, FL 33609RIA
CRD#: 289372
Tampa, FL
Past
April 15, 2008 - January 5, 2018
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
TAMPA, FL
Past
October 24, 2007 - January 5, 2018
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
TAMPA, FL
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".
CW
CODE WAECHTER LLC
CODE WAECHTER LLC | CODE WECHETER CODE LLP | CODE WAECHTER PLLC
CRD#: 289372 / SEC#: 801-119308
RIA
Registered Investment Advisory firm - (8/19/2020 Approved)Florida
Registered Investment Advisory firm - (9/1/2020 Terminated)Texas
Registered Investment Advisory firm - (3/23/2021 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.Highlighted states indicate IAR registrations
IAR
Florida(1/12/2018)
IAR
Texas(4/19/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CW
CODE WAECHTER LLC
CODE WAECHTER LLC | CODE WECHETER CODE LLP | CODE WAECHTER PLLC
CRD#: 289372 / SEC#: 801-119308
RIA
Registered Investment Advisory firm - (8/19/2020 Approved)Florida
Registered Investment Advisory firm - (9/1/2020 Terminated)Texas
Registered Investment Advisory firm - (3/23/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4890 W. Kennedy Blvd. Suite 680, Tampa, FL 33609
Mailing Address
Phone number
(813) 287-8775
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,012 |
| AUM (Assets Under Management) | $ 329,453,529 |
Red Flags
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Company Information
CODE WAECHTER LLC
CRD#: 289372Tampa, FL 33609TRUST BUT VERIFY
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