Steven Scott

MANCHESTER FINANCIAL

Westlake Village, CA 91361

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CRD#: 5932414

Professional summary

Steven Scott, who also goes by Steven John Scott, is a registered financial advisor currently at MANCHESTER FINANCIAL INC located in Westlake Village, California.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Steven has worked at 3 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steven John 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.

02/2012 Independent Licensed insurance Agent; Investment Related; Westlake Village, CA; Life,Health & Accident, Var Life & Var Annuity

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view 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

June 9, 2015 - Present

MANCHESTER FINANCIAL INC

Office #1: 2815 Townsgate Road Suite 100, Westlake Village, CA 91361

RIA

CRD#: 106071

Westlake Village, CA

Past

December 14, 2012 - May 6, 2014

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

WESTLAKE VILLAGE, CA

Past

December 14, 2012 - May 6, 2014

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

WESTLAKE VILLAGE, CA

Past

September 2, 2011 - October 15, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WESTLAKE VILLAGE, CA

Past

August 4, 2011 - October 15, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WESTLAKE VILLAGE, CA

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".

MANCHESTER FINANCIAL INC

CRD#: 106071 / SEC#: 801-37370

RIA

Registered Investment Advisory firm - (9/14/1990 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.

Highlighted states indicate IAR registrations

IAR

California
(6/9/2015)

IAR

Texas
(2/27/2024)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/29/2011

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 8/3/2011

General Securities Representative Examination

Current Firm

MANCHESTER FINANCIAL INC

CRD#: 106071 / SEC#: 801-37370

RIA

Registered Investment Advisory firm - (9/14/1990 Approved)

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Contact information

Main Address

2815 Townsgate Road Suite 100, Westlake Village, CA 91361

Mailing Address

Phone number

(805) 495-4405

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/21/2025)

Regulatory assets under management

Total Number of Accounts	1,007
AUM (Assets Under Management)	$ 946,838,290

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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WELLS FARGO CLEARING SERVICES, LLC

IAR

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Steven Scott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

MANCHESTER FINANCIAL INC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

MANCHESTER FINANCIAL INC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/29/2011

Series 7

Date: 8/3/2011

Current Firm

MANCHESTER FINANCIAL INC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MANCHESTER FINANCIAL INC

TRUST BUT VERIFY

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