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Scott S Haley

Scott S. Haley

PRELUDE FINANCIAL
Wadsworth, OH 44281
Some features on this profile are disabled
CRD#: 5919854
Scott S Haley

Professional summary

Scott S Haley, CFP®, who also goes by Scott S Dunn, Scott Steven Haley, is a registered financial advisor currently at PRELUDE FINANCIAL located in Wadsworth, Ohio.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Scott has worked at 6 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

Core Areas of Focus

Divorce Planning
High Net Worth Client Needs
Investment Advice with Ongoing Management
Retirement Planning & Distribution Rules
Tax Planning

Biography

At Prelude Financial, our mission is to partner with you to create financial comfort, help and protect your family, and build a legacy.  We are driven to provide objective, tailored solutions that enhance your life. We endeavor to know and understand your financial situation and provide you with only the highest quality service and advice to help you reach your personal goals Whether I am building a financial plan, creating an investment strategy or helping you develop a budget, my approach is more than simply evaluating the numbers, it's about getting to know you and understanding your goals and dreams.

Question & Answer

What are your service offerings?
Comprehensive Financial Planni...
Tax Planning
Estate Planning
Investment Planning
Insurance Planning
Divorce Planning
Retirement Planning
What is your minimum asset requirement?
1
Are you a "fiduciary"?
Yes

Aliases

Scott S Dunn | Scott Steven Haley

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 S Haley'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®

Certified Financial Planner

Start date: 2015

Experience

Current

February 8, 2016 - Present

PRELUDE FINANCIAL

Office #1: 137 College St, Wadsworth, OH 44281
RIA
CRD#: 282158
Wadsworth, OH
Past

September 15, 2015 - October 28, 2015

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
AKRON, OH
Past

July 31, 2015 - October 28, 2015

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
AKRON, OH
Past

July 21, 2014 - June 1, 2015

STOREY & ASSOCIATES

RIA
CRD#: 150673
NORTH CANTON, OH
Past

February 22, 2013 - April 28, 2014

SCOTT SNOW (FINANCIAL ADVISORS) LLC

RIA
CRD#: 121222
WESTLAKE, OH
Past

November 2, 2012 - February 21, 2013

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
N. CANTON, OH
Past

November 2, 2012 - February 21, 2013

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
N. CANTON, OH
Past

July 9, 2012 - August 13, 2012

EDWARD JONES

RIA
CRD#: 250
WADSWORTH, OH
Past

April 26, 2012 - August 13, 2012

EDWARD JONES

BD
CRD#: 250
WADSWORTH, OH

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
Ohio
(2/8/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 8/10/2015
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 5/11/2012
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/28/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/31/2015
General Securities Representative Examination

Current Firm

PRELUDE FINANCIAL
PRELUDE FINANCIAL
PRELUDE FINANCIAL | PRELUDE FINANCIAL, LLC

CRD#: 282158 / SEC#:

Ohio
Registered Investment Advisory firm - (2/8/2016 Approved)
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Contact information

Main Address
137 College St, Wadsworth, OH 44281
Mailing Address
Phone number
(330) 331-5197
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts103
AUM (Assets Under Management)$ 28,296,435

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

PRELUDE FINANCIAL

PRELUDE FINANCIAL

CRD#: 282158Wadsworth, OH 44281

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