Michael S. Scott

ALLSTATE FINANCIAL ADVISORS

Gorham, ME 04038-1322

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CRD#: 5370297

Professional summary

Michael Steven Scott, who also goes by Michael S Scott, Michael Scott, is a registered financial advisor currently at ALLSTATE FINANCIAL ADVISORS, LLC located in Gorham, Maine and ALLSTATE FINANCIAL SERVICES, LLC located in Gorham, Maine.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Michael has worked at 12 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael S Scott | Michael Scott

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.

SOLE PROP POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 12/01/2022 ADDRESS: 11 Patoine Place, Old Orchard Beach ME 04064, United States DESCRIPTION: We have a property manager in place, it is mostly just speaking with them and making sure that we get things done that are needed to be done.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Steven Scott's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 12, 2024 - Present

ALLSTATE FINANCIAL ADVISORS, LLC

Office #1: 36 Main St, Gorham, ME 04038-1322

RIA

CRD#: 109524

Gorham, ME

Current

November 8, 2024 - Present

ALLSTATE FINANCIAL SERVICES, LLC

Office #1: 36 Main St, Gorham, ME 04038-1322

CRD#: 18272

Gorham, ME

Past

June 2, 2021 - November 12, 2024

TD PRIVATE CLIENT WEALTH LLC

RIA

CRD#: 164484

PORTLAND, ME

Past

June 1, 2021 - November 1, 2024

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484

PORTLAND, ME

Past

April 13, 2020 - January 26, 2021

TD AMERITRADE, INC.

RIA

CRD#: 7870

Portland, ME

Past

April 13, 2020 - March 17, 2021

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

SOuth Portland, ME

Past

April 13, 2020 - January 11, 2021

TD AMERITRADE, INC.

CRD#: 7870

Portland, ME

Past

August 26, 2019 - March 6, 2020

EDWARD JONES

RIA

CRD#: 250

South Portland, ME

Past

July 3, 2019 - February 26, 2020

EDWARD JONES

CRD#: 250

South Portland, ME

Past

July 18, 2018 - June 26, 2019

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

October 20, 2016 - March 6, 2018

SAMMONS FINANCIAL NETWORK, LLC

CRD#: 158538

WEST DES MOINES, IA

Past

October 23, 2012 - January 2, 2015

NEW ENGLAND SECURITIES

CRD#: 615

CHARLOTTE, NC

Past

October 23, 2012 - June 30, 2016

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

CHARLOTTE, NC

Past

February 15, 2011 - October 3, 2016

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 107622

CHARLOTTE, NC

Past

September 16, 2009 - September 21, 2010

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 107622

WEST DES MOINES, IA

Past

April 9, 2008 - August 25, 2009

BANCWEST INVESTMENT SERVICES, INC.

CRD#: 29357

AMES, IA

Past

August 10, 2007 - April 18, 2008

NEW ENGLAND SECURITIES

CRD#: 615

WEST DES MOINES, IA

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".

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Colorado
(4/2/2025)

Iowa
(6/10/2025)

Maine
(11/12/2024)

IAR

Maine
(11/12/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/17/2019

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/23/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/26/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 8/9/2007

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 1/20/2012

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 Approved)

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Contact information

Main Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Mailing Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Phone number

(877) 232-2142

Established

Firm type

Fiscal year end

# of Employees

337

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AFA FORM ADV FIRM BROCHURE 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	280
AUM (Assets Under Management)	$ 82,015,793

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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Michael S. Scott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Steven Scott's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLSTATE FINANCIAL SERVICES, LLC

TD PRIVATE CLIENT WEALTH LLC

TD PRIVATE CLIENT WEALTH LLC

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

EDWARD JONES

EDWARD JONES

LPL FINANCIAL LLC

SAMMONS FINANCIAL NETWORK, LLC

NEW ENGLAND SECURITIES

MSI FINANCIAL SERVICES, INC.

METLIFE INVESTORS DISTRIBUTION COMPANY

METLIFE INVESTORS DISTRIBUTION COMPANY

BANCWEST INVESTMENT SERVICES, INC.

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

ALLSTATE FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/17/2019

Series 63

Date: 8/23/2007

Series 7TO

Date: 7/26/2019

SIE

Date: 10/1/2018

Series 6

Date: 8/9/2007

Series 26

Date: 1/20/2012

FINRA

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLSTATE FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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