SH
Scott S. Hermes
CREATIVEONE SECURITIES
Wisconsin Dells, WI 53950
Some features on this profile are disabled
CRD#: 5889144
SH
Professional summary
Scott Steven Hermes, who also goes by Scott Hermes, is a registered financial advisor currently at CREATIVEONE SECURITIES, LLC located in Wisconsin Dells, Wisconsin.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Scott has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Scott Hermes
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.
NOTRE DAME ACADEMY; NOT INVESTMENT-RELATED; 610 MARYHILL DR, GREEN BAY, WI 54303; VARSITY SOFTBALL; HEAD COACH; BEGAN 1/7/2021; APPROXIMATELY 30 HOURS PER MONTH, WITH NONE DURING SECURITIES TRADING HOURS; TEACHING YOUNG LADIES TO PLAY SOFTBALL.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Steven Hermes's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Scott Steven Hermes'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
February 28, 2020 - Present
CREATIVEONE SECURITIES, LLC
Office #1: 1010 Wisconsin Dells Parkway #8, Wisconsin Dells, WI 53950Office #2: 4321 W. College Avenue Suite 200, Appleton, WI 54914Office #3: 716 Pine Street, Green Bay, WI 54301RIA
BD
CRD#: 152974
Wisconsin Dells, WI
Current
November 7, 2019 - Present
CREATIVEONE SECURITIES, LLC
Office #1: 1010 Wisconsin Dells Parkway #8, Wisconsin Dells, WI 53950Office #2: 4321 W. College Avenue Suite 200, Appleton, WI 54914Office #3: 716 Pine Street, Green Bay, WI 54301RIA
BD
CRD#: 152974
Wisconsin Dells, WI
Past
April 25, 2011 - May 2, 2016
LUPO FUTURES, LLC
BD
CRD#: 155931
CHICAGO, IL
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".
CS
CREATIVEONE SECURITIES, LLC
AFFINITY ASSET MANAGEMENT | WESTERN LAKES FINANCIAL | WEATLH WISDOM GROUP | WALLSTREET GROUP ADVISORS, LLC | VOYAGE FINANCIAL PARTNERS | VJH CONCIERGE FINANCIAL PLANNING | UPSTATE WEALTH MANAGEMENT | THOMAS FINANCIAL | THE NORTHEASTERN GROUP | SECURE FINANCIAL SERVICES, INC | SAWYER WEALTH MANAGEMENT | SABATKA FINANCIAL ADVISORY SERVICE, INC. | RZA WEALTH MANAGEMENT | RUNDAHL FINANCIAL CONSULTANTS | RSL FINANCIAL MANAGEMENT | ROBINSON FINANCIAL | RG INVESTMENTS | RETIREMENT DEFENDERS | RASBERRY FINANCIAL SERVICES | QUANTUM ASSET MANAGEMENT | PRAIRIELAND INSURANCE GROUP, LLC | NUTTER WEALTH MANAGEMENT | NORTH COUNTY FINANCIAL ASSOCIATES | NEST BENEFITS | MWI | MUNKER FINANCIAL | MONK FINANCIAL ADVISORS | MIKE KLOBERDANZ, CHFC, LUTCF & ASSOCIATES | MIKE AXTON & ASSOCIATES | MG NASH FINANCIAL SOLUTIONS, INC | MANAGING WEALTH & INCOME | LUND FINANCIAL MANAGEMENT | LLP FINANCIAL SERVICES | LIFETIME FINANCIAL PLANNING | LEWIS RETIREMENT SOLUTIONS, LLC | KEYSTONE ASSET MANAGEMENT | KAIZEN FINANCIAL GROUP | JUDY FINANCIAL GROUP, INC | JOHNSON FINANCIAL | JENKINS & ASSOCIATES | IWM FINANCIAL, INC | INTEGRITY INVESTMENTS, INC | HAYDENROCK FINANCIAL, LLC | HARVEST FINANCIAL GROUP | GULF COAST RETIREMENT SOLUTIONS | GREER FINANCIAL SOLUTIONS, LLC | GRAND CANYON PLANNING | FUNDS MANAGEMENT, INC. | FOOTE FINANCIAL GROUP | FINANCIAL SOLUTIONS GROUP, LLC | FINANCIAL CHOREOGRAPHY LLC | EVERSON TAX & FINANCIAL SERVICES | ETA FINANCIAL SERVICES | EPHAS FINANCIAL | DS DRELICH WEALTH MANAGEMENT | DIVERSIFIED ASSET MANAGEMENT | CREATIVEWEALTH KANSAS CITY | CREATIVEONE SECURITIES, LLC | CREATIVE ONE SECURITIES, LLC | CORNERSTONE FINANCIAL | COOK FINANCIAL GROUP | CONFIANCE FINANCIAL ADVISORY | COMPASS FINANCIAL WEALTH MANAGEMENT | COASTAL CAPITAL INVESTMENT SERVICES | CLIENT ONE SECURITIES, LLC | CLIENT ONE SECURITIES LLC | CLC FINANCIAL SERVICES, LLC | CARTIER FINANCIAL | CARSTENS FINANCIAL GROUP | BENCHMARK FINANCIAL GROUP | BELLUE & ASSOCIATES | BAACKE INSURANCE SERVICES, INC. | ATLANTIC COAST ADVISORY GROUP | ASSOCIATES GROUP OF COMPANIES | AMERICA'S RETIREMENT ADVISORY GROUP | AMBROSE FINANCIAL & INSURANCE SERVICES, LLC
CRD#: 152974 / SEC#: 801-78158, 8-68494
RIA
Registered Investment Advisory firm - SEC (6/5/2013 Approved)Arizona
Registered Investment Advisory firm - SEC (6/5/2013 Terminated)Arkansas
Registered Investment Advisory firm - SEC (6/5/2013 Terminated)California
Registered Investment Advisory firm - SEC (7/5/2013 Terminated)Colorado
Registered Investment Advisory firm - SEC (6/6/2013 Terminated)Connecticut
Registered Investment Advisory firm - SEC (6/6/2013 Terminated)Delaware
Registered Investment Advisory firm - SEC (6/6/2013 Terminated)Florida
Registered Investment Advisory firm - SEC (6/5/2013 Terminated)Georgia
Registered Investment Advisory firm - SEC (6/5/2013 Terminated)Idaho
Registered Investment Advisory firm - SEC (6/6/2013 Terminated)Illinois
Registered Investment Advisory firm - SEC (6/5/2013 Terminated)Indiana
Registered Investment Advisory firm - SEC (6/6/2013 Terminated)Iowa
Registered Investment Advisory firm - SEC (6/5/2013 Terminated)Kansas
Registered Investment Advisory firm - SEC (6/5/2013 Terminated)Louisiana
Registered Investment Advisory firm - SEC (6/12/2013 Terminated)Maine
Registered Investment Advisory firm - SEC (6/5/2013 Terminated)Maryland
Registered Investment Advisory firm - SEC (6/17/2013 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (7/24/2013 Terminated)Minnesota
Registered Investment Advisory firm - SEC (6/5/2013 Terminated)Mississippi
Registered Investment Advisory firm - SEC (6/5/2013 Terminated)Missouri
Registered Investment Advisory firm - SEC (6/5/2013 Terminated)Montana
Registered Investment Advisory firm - SEC (6/5/2013 Terminated)Nebraska
Registered Investment Advisory firm - SEC (6/6/2013 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/26/2013 Terminated)New York
Registered Investment Advisory firm - SEC (6/5/2013 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/5/2013 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/6/2013 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (6/6/2013 Terminated)South Carolina
Registered Investment Advisory firm - SEC (6/5/2013 Terminated)Texas
Registered Investment Advisory firm - SEC (6/5/2013 Terminated)Virginia
Registered Investment Advisory firm - SEC (6/6/2013 Terminated)West Virginia
Registered Investment Advisory firm - SEC (6/5/2013 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (6/6/2013 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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
Wisconsin(2/12/2020)
IAR
Wisconsin(2/28/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/7/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CREATIVEONE SECURITIES, LLC
AFFINITY ASSET MANAGEMENT | WESTERN LAKES FINANCIAL | WEATLH WISDOM GROUP | WALLSTREET GROUP ADVISORS, LLC | VOYAGE FINANCIAL PARTNERS | VJH CONCIERGE FINANCIAL PLANNING | UPSTATE WEALTH MANAGEMENT | THOMAS FINANCIAL | THE NORTHEASTERN GROUP | SECURE FINANCIAL SERVICES, INC | SAWYER WEALTH MANAGEMENT | SABATKA FINANCIAL ADVISORY SERVICE, INC. | RZA WEALTH MANAGEMENT | RUNDAHL FINANCIAL CONSULTANTS | RSL FINANCIAL MANAGEMENT | ROBINSON FINANCIAL | RG INVESTMENTS | RETIREMENT DEFENDERS | RASBERRY FINANCIAL SERVICES | QUANTUM ASSET MANAGEMENT | PRAIRIELAND INSURANCE GROUP, LLC | NUTTER WEALTH MANAGEMENT | NORTH COUNTY FINANCIAL ASSOCIATES | NEST BENEFITS | MWI | MUNKER FINANCIAL | MONK FINANCIAL ADVISORS | MIKE KLOBERDANZ, CHFC, LUTCF & ASSOCIATES | MIKE AXTON & ASSOCIATES | MG NASH FINANCIAL SOLUTIONS, INC | MANAGING WEALTH & INCOME | LUND FINANCIAL MANAGEMENT | LLP FINANCIAL SERVICES | LIFETIME FINANCIAL PLANNING | LEWIS RETIREMENT SOLUTIONS, LLC | KEYSTONE ASSET MANAGEMENT | KAIZEN FINANCIAL GROUP | JUDY FINANCIAL GROUP, INC | JOHNSON FINANCIAL | JENKINS & ASSOCIATES | IWM FINANCIAL, INC | INTEGRITY INVESTMENTS, INC | HAYDENROCK FINANCIAL, LLC | HARVEST FINANCIAL GROUP | GULF COAST RETIREMENT SOLUTIONS | GREER FINANCIAL SOLUTIONS, LLC | GRAND CANYON PLANNING | FUNDS MANAGEMENT, INC. | FOOTE FINANCIAL GROUP | FINANCIAL SOLUTIONS GROUP, LLC | FINANCIAL CHOREOGRAPHY LLC | EVERSON TAX & FINANCIAL SERVICES | ETA FINANCIAL SERVICES | EPHAS FINANCIAL | DS DRELICH WEALTH MANAGEMENT | DIVERSIFIED ASSET MANAGEMENT | CREATIVEWEALTH KANSAS CITY | CREATIVEONE SECURITIES, LLC | CREATIVE ONE SECURITIES, LLC | CORNERSTONE FINANCIAL | COOK FINANCIAL GROUP | CONFIANCE FINANCIAL ADVISORY | COMPASS FINANCIAL WEALTH MANAGEMENT | COASTAL CAPITAL INVESTMENT SERVICES | CLIENT ONE SECURITIES, LLC | CLIENT ONE SECURITIES LLC | CLC FINANCIAL SERVICES, LLC | CARTIER FINANCIAL | CARSTENS FINANCIAL GROUP | BENCHMARK FINANCIAL GROUP | BELLUE & ASSOCIATES | BAACKE INSURANCE SERVICES, INC. | ATLANTIC COAST ADVISORY GROUP | ASSOCIATES GROUP OF COMPANIES | AMERICA'S RETIREMENT ADVISORY GROUP | AMBROSE FINANCIAL & INSURANCE SERVICES, LLC
CRD#: 152974 / SEC#: 801-78158, 8-68494
RIA
Registered Investment Advisory firm - SEC (6/5/2013 Approved)Arizona
Registered Investment Advisory firm - SEC (6/5/2013 Terminated)Arkansas
Registered Investment Advisory firm - SEC (6/5/2013 Terminated)California
Registered Investment Advisory firm - SEC (7/5/2013 Terminated)Colorado
Registered Investment Advisory firm - SEC (6/6/2013 Terminated)Connecticut
Registered Investment Advisory firm - SEC (6/6/2013 Terminated)Delaware
Registered Investment Advisory firm - SEC (6/6/2013 Terminated)Florida
Registered Investment Advisory firm - SEC (6/5/2013 Terminated)Georgia
Registered Investment Advisory firm - SEC (6/5/2013 Terminated)Idaho
Registered Investment Advisory firm - SEC (6/6/2013 Terminated)Illinois
Registered Investment Advisory firm - SEC (6/5/2013 Terminated)Indiana
Registered Investment Advisory firm - SEC (6/6/2013 Terminated)Iowa
Registered Investment Advisory firm - SEC (6/5/2013 Terminated)Kansas
Registered Investment Advisory firm - SEC (6/5/2013 Terminated)Louisiana
Registered Investment Advisory firm - SEC (6/12/2013 Terminated)Maine
Registered Investment Advisory firm - SEC (6/5/2013 Terminated)Maryland
Registered Investment Advisory firm - SEC (6/17/2013 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (7/24/2013 Terminated)Minnesota
Registered Investment Advisory firm - SEC (6/5/2013 Terminated)Mississippi
Registered Investment Advisory firm - SEC (6/5/2013 Terminated)Missouri
Registered Investment Advisory firm - SEC (6/5/2013 Terminated)Montana
Registered Investment Advisory firm - SEC (6/5/2013 Terminated)Nebraska
Registered Investment Advisory firm - SEC (6/6/2013 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/26/2013 Terminated)New York
Registered Investment Advisory firm - SEC (6/5/2013 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/5/2013 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/6/2013 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (6/6/2013 Terminated)South Carolina
Registered Investment Advisory firm - SEC (6/5/2013 Terminated)Texas
Registered Investment Advisory firm - SEC (6/5/2013 Terminated)Virginia
Registered Investment Advisory firm - SEC (6/6/2013 Terminated)West Virginia
Registered Investment Advisory firm - SEC (6/5/2013 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (6/6/2013 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
6330 Sprint Parkway, Suite 400, Overland Park, KS 66211
Mailing Address
6330 Sprint Parkway, Suite 400, Overland Park, KS 66211
Phone number
(913) 814-6097
Established
Kansas since 12/02/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
199
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 11,317 |
| AUM (Assets Under Management) | $ 2,125,054,242 |
Disclosures
| Regulatory Event | 1 |
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
CREATIVEONE SECURITIES, LLC
CRD#: 152974Wisconsin Dells, WI 53950TRUST BUT VERIFY
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