Scott M. Mardy

MILLER HOWARD INVESTMENTS

Kingston, NY 12401

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CRD#: 5585788

Professional summary

Scott M Mardy, who also goes by Scott Mardy, is a registered financial advisor currently at MILLER HOWARD INVESTMENTS INC located in Kingston, New York and FORESIDE FUND SERVICES, LLC located in Coxsackie, New York.

Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Scott has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Scott Mardy

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott M Mardy'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

March 24, 2025 - Present

MILLER HOWARD INVESTMENTS INC

Office #1: 45 Pine Grove Avenue Suite 305, Kingston, NY 12401

RIA

CRD#: 105800

Kingston, NY

Current

February 13, 2024 - Present

FORESIDE FUND SERVICES, LLC

CRD#: 46106

Coxsackie, NY

Past

September 11, 2018 - December 26, 2023

DFA SECURITIES LLC

CRD#: 10292

AUSTIN, TX

Past

July 19, 2018 - December 26, 2023

DIMENSIONAL FUND ADVISORS LP

RIA

CRD#: 106482

AUSTIN, TX

Past

July 7, 2010 - December 22, 2010

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

NEW YORK, NY

Past

October 1, 2008 - September 16, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

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".

MILLER HOWARD INVESTMENTS INC

CRD#: 105800 / SEC#: 801-28170

RIA

Registered Investment Advisory firm - (12/5/1986 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

Alabama
(2/14/2024)

Alaska
(2/14/2024)

Arizona
(2/14/2024)

Arkansas
(2/14/2024)

California
(2/14/2024)

Colorado
(2/14/2024)

Connecticut
(2/14/2024)

Delaware
(2/14/2024)

District of Columbia
(1/2/2025)

Florida
(2/14/2024)

Georgia
(2/14/2024)

Hawaii
(2/14/2024)

Idaho
(2/14/2024)

Illinois
(2/14/2024)

Indiana
(2/14/2024)

Iowa
(2/14/2024)

Kansas
(2/14/2024)

Kentucky
(2/14/2024)

Louisiana
(2/14/2024)

Maine
(2/14/2024)

Maryland
(2/14/2024)

Massachusetts
(2/14/2024)

Michigan
(2/14/2024)

Minnesota
(2/14/2024)

Mississippi
(2/14/2024)

Missouri
(2/14/2024)

Montana
(2/15/2024)

Nebraska
(2/14/2024)

Nevada
(2/14/2024)

New Hampshire
(2/14/2024)

New Jersey
(2/14/2024)

New Mexico
(2/14/2024)

New York
(2/14/2024)

IAR

New York
(3/24/2025)

North Carolina
(2/14/2024)

North Dakota
(2/14/2024)

Ohio
(2/15/2024)

Oklahoma
(2/14/2024)

Oregon
(2/14/2024)

Pennsylvania
(2/14/2024)

Rhode Island
(2/14/2024)

South Carolina
(2/14/2024)

South Dakota
(2/14/2024)

Tennessee
(2/14/2024)

Texas
(2/13/2024)

IAR

Texas
(3/24/2025)

Utah
(2/14/2024)

Vermont
(2/14/2024)

Virginia
(2/14/2024)

Washington
(2/14/2024)

West Virginia
(2/14/2024)

Wisconsin
(2/14/2024)

Wyoming
(2/14/2024)

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: 4/4/2019

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/11/2018

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

MILLER HOWARD INVESTMENTS INC

CRD#: 105800 / SEC#: 801-28170

RIA

Registered Investment Advisory firm - (12/5/1986 Approved)

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Contact information

Main Address

45 Pine Grove Ave Suite 301, Kingston, NY 12401

Mailing Address

P.o. Box 1598, Kingston, NY 12402

Phone number

(845) 679-9166

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MHI PART 2B OCTOBER 2025 (10/22/2025)

MHI PART 2A MARCH 2025 (3/19/2025)

Regulatory assets under management

Total Number of Accounts	2,083
AUM (Assets Under Management)	$ 3,450,989,180

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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Advisor Monitoring

Firm Stability Insights

Scott M. Mardy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott M Mardy's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESIDE FUND SERVICES, LLC

DFA SECURITIES LLC

DIMENSIONAL FUND ADVISORS LP

KESTRA INVESTMENT SERVICES, LLC

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

MILLER HOWARD INVESTMENTS INC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/4/2019

SIE

Date: 10/1/2018

Series 7

Date: 9/11/2018

FINRA

Current Firm

MILLER HOWARD INVESTMENTS INC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MILLER HOWARD INVESTMENTS INC

TRUST BUT VERIFY

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