SM
Scott A. Mackenzie
ONEASCENT FINANCIAL SERVICES LLC
Andover, NJ 07821
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CRD#: 5642422
SM
Professional summary
Scott Arthur Mackenzie, who also goes by Scott A Mackenzie, is a registered financial advisor currently at ONEASCENT FINANCIAL SERVICES LLC located in Andover, New Jersey and PURSHE KAPLAN STERLING INVESTMENTS located in Andover, New Jersey.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. 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 A Mackenzie
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) PKS Financial. Investment Related. 80 State St, Albany, NY 12207. Fixed/Traditional Insurance. Agent. 05/2016. 5 hrs/mo, 1 hr During Trading. Marketing & Sales of Fixed and Traditional Insurance Products. 2) NJLTC. Investment Related. 1 Bethany Road, Suite 32, Hazlet, NJ 07730. Insurance Broker. Producer. 11/2017. 4 Hrs/Mo; 1 During Trading Hours. Insurance Service and Sales. 3) One Ascent Financial Services dba Hampton Square Advisors, LLC. Investment Related. 83 US 206, Augusta NJ 07860. Fixed Insurance Sales and Marketing. Managing Member. 06/2018. 15 Hrs/Mo; All During Trading Hours. Owner, Partner, Managing Member. 4) Advisors Excel 2950 SW McClure Rd. Topeka, KS 66614 Fixed Insurance FMO. Independent Agent. Investment Related. 20 hrs/4 hrs. Selling fixed insurance products including life insurance and fixed annuities and fixed-indexed annuities.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Arthur Mackenzie'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®
NoneExperience
Current
December 27, 2018 - Present
ONEASCENT FINANCIAL SERVICES LLC
Office #1: 219 Main Street Suite 1, Andover, NJ 07821RIA
CRD#: 284549
Andover, NJ
Current
May 2, 2016 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 219 Main Street Suite 1, Andover, NJ 07821BD
CRD#: 35747
Andover, NJ
Past
November 18, 2014 - December 10, 2018
INSIGHT PRIVATE ADVISORS, LLC
RIA
CRD#: 169017
NEWTON, NJ
Past
November 14, 2014 - May 2, 2016
LPL FINANCIAL LLC
BD
CRD#: 6413
NEWTON, NJ
Past
October 8, 2010 - November 17, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SPARTA, NJ
Past
October 6, 2010 - November 17, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SPARTA, NJ
Past
August 25, 2009 - June 1, 2010
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
SUMMIT, NJ
Past
July 6, 2009 - June 1, 2010
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
SUMMIT, NJ
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".
OF
ONEASCENT FINANCIAL SERVICES LLC
2:24 WEALTH GROUP | ZAHORANSKI WEALTH MANAGEMENT | WEALTH STEWARDS | THE CORNERSTONE FINANCIAL GROUP | TEVEBAUGH & ASSOCIATES | TATE FINANCIAL PARTNERS | STRATEGENCE CAPITAL | STONEBRIDGE WEALTH MANAGEMENT | SOVEREIGN PRIVATE WEALTH | SOVEREIGN FAMILY OFFICE | SOLOMON PRIVATE WEALTH | RIVER OAK FINANCIAL | RESOLUTE CAPITAL GROUP | PWJOHNSON WEALTH MANAGEMENT | PURE CAPITAL SPORTS | PURE CAPITAL ADVISORS | PROVIDENT OAK FINANCIAL | PROVIDENCE FINANCIAL ADVISORS | PEARSON & ASSOCIATES | ONEASCENT FINANCIAL SERVICES LLC | LONE OAK FINANCIAL SERVICES | LIFE&WEALTH ADVISORS | LEGATUM GROUP | JB STARK FINANCIAL LLC | HARDT FINANCIAL GROUP | HAMPTON SQUARE WEALTH MANAGEMENT | FRANKLIN WEALTH MANAGEMENT | FLIGHT FINANCIAL ADVISORS | FINANCIAL STRATEGIES GROUP | ENOUGH WEALTH | ANTHEM ADVISORS | AFFILIATED FINANCIAL PLANNERS | ADVENTURE FINANCIAL
CRD#: 284549 / SEC#: 801-108265
RIA
Registered Investment Advisory firm - (8/24/2016 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.RR
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
RR
California(5/6/2019)
RR
Colorado(1/15/2020)
RR
Connecticut(10/31/2019)
RR
Delaware(12/8/2022)
RR
Florida(2/27/2018)
RR
Maryland(8/21/2025)
RR
Massachusetts(7/27/2020)
RR
New Jersey(5/2/2016)
IAR
New Jersey(12/27/2018)
RR
New York(7/18/2017)
IAR
New York(9/4/2025)
RR
North Carolina(9/19/2024)
RR
Pennsylvania(9/26/2018)
RR
South Carolina(2/27/2018)
RR
Virginia(5/7/2019)
RR
West Virginia(8/22/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OF
ONEASCENT FINANCIAL SERVICES LLC
2:24 WEALTH GROUP | ZAHORANSKI WEALTH MANAGEMENT | WEALTH STEWARDS | THE CORNERSTONE FINANCIAL GROUP | TEVEBAUGH & ASSOCIATES | TATE FINANCIAL PARTNERS | STRATEGENCE CAPITAL | STONEBRIDGE WEALTH MANAGEMENT | SOVEREIGN PRIVATE WEALTH | SOVEREIGN FAMILY OFFICE | SOLOMON PRIVATE WEALTH | RIVER OAK FINANCIAL | RESOLUTE CAPITAL GROUP | PWJOHNSON WEALTH MANAGEMENT | PURE CAPITAL SPORTS | PURE CAPITAL ADVISORS | PROVIDENT OAK FINANCIAL | PROVIDENCE FINANCIAL ADVISORS | PEARSON & ASSOCIATES | ONEASCENT FINANCIAL SERVICES LLC | LONE OAK FINANCIAL SERVICES | LIFE&WEALTH ADVISORS | LEGATUM GROUP | JB STARK FINANCIAL LLC | HARDT FINANCIAL GROUP | HAMPTON SQUARE WEALTH MANAGEMENT | FRANKLIN WEALTH MANAGEMENT | FLIGHT FINANCIAL ADVISORS | FINANCIAL STRATEGIES GROUP | ENOUGH WEALTH | ANTHEM ADVISORS | AFFILIATED FINANCIAL PLANNERS | ADVENTURE FINANCIAL
CRD#: 284549 / SEC#: 801-108265
RIA
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Contact information
Main Address
23 Inverness Parkway, Birmingham, AL 35242
Mailing Address
Phone number
(205) 313-9142
Established
Firm type
Fiscal year end
# of Employees
125
SEC notice filing (43 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,150 |
| AUM (Assets Under Management) | $ 2,610,953,335 |
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.
Company Information
ONEASCENT FINANCIAL SERVICES LLC
CRD#: 284549Andover, NJ 07821TRUST BUT VERIFY
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