Scott E. Caskey
SUMMIT INVESTMENT ADVISORY SERVICES
Roseville, MN 55113
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CRD#: 5948473
Professional summary
Scott Edward Caskey, CFP®, who also goes by Scott Caskey, is a registered financial advisor currently at SUMMIT INVESTMENT ADVISORY SERVICES located in Roseville, Minnesota and LPL FINANCIAL LLC located in Roseville, Minnesota.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Scott has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Scott Caskey
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) 12/23/2013: Summit Investment Advisors - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s)
(2) 11/01/2016: Summit Advisors, Inc. - Business Entity For Tax/Investment Purposes Only - Investment Related - 3065 Centre Pointe Drive, Suite 2, Roseville, MN 55113 - Start 11/01/2016 - 0 Hr/Mo
3. 01/05/2018 - Summit Invesment Advisory Services - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Wealth Advisor, Partner - Start Date 12/01/2017 - 80 Hours Per Month / 50 Hours During Trading - I provide investment advisory services through Summit Invesment Advisory Services, an independent investment advisor firm. I started this business activity in 12/2017. I expect to spend approximately 80 hours per month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Edward Caskey'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®
Start date: 2015
Experience
Current
December 8, 2017 - Present
SUMMIT INVESTMENT ADVISORY SERVICES
Office #1: 3065 Center Pointe Drive Suite 2, Roseville, MN 55113RIA
CRD#: 168594
Roseville, MN
Current
February 13, 2013 - Present
LPL FINANCIAL LLC
Office #1: 3065 Centre Pointe Dr Ste 2, Roseville, MN 55113-1118Office #2: 1650 West End Blvd, Ste 100, St Louis Park, MN 55416RIA
BD
CRD#: 6413
Roseville, MN
Past
January 2, 2012 - January 10, 2013
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
DEERFIELD, 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".
SI
SUMMIT INVESTMENT ADVISORY SERVICES
MCDERMOTT, SEAN P | SUMMIT INVESTMENT ADVISORY SERVICES, LLC | SUMMIT INVESTMENT ADVISORY SERVICES, INC. | SUMMIT INVESTMENT ADVISORY SERVICES | SUMMIT INVESTMENT ADVISORS
CRD#: 168594 / SEC#: 801-110650
RIA
Registered Investment Advisory firm - (6/9/2017 Approved)Florida
Registered Investment Advisory firm - (12/21/2017 Terminated)Minnesota
Registered Investment Advisory firm - (12/21/2017 Terminated)Wisconsin
Registered Investment Advisory firm - (12/21/2017 Terminated)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
Arizona(6/28/2019)
RR
California(6/28/2019)
RR
Florida(6/28/2019)
RR
Georgia(6/28/2019)
RR
Idaho(6/28/2019)
RR
Illinois(9/2/2021)
RR
Michigan(7/3/2019)
RR
Minnesota(6/10/2013)
IAR
Minnesota(12/8/2017)
RR
North Carolina(6/5/2024)
RR
North Dakota(6/28/2019)
RR
Ohio(7/16/2024)
RR
Oregon(11/23/2020)
RR
Texas(6/28/2019)
RR
Washington(1/3/2025)
RR
Wisconsin(6/28/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SI
SUMMIT INVESTMENT ADVISORY SERVICES
MCDERMOTT, SEAN P | SUMMIT INVESTMENT ADVISORY SERVICES, LLC | SUMMIT INVESTMENT ADVISORY SERVICES, INC. | SUMMIT INVESTMENT ADVISORY SERVICES | SUMMIT INVESTMENT ADVISORS
CRD#: 168594 / SEC#: 801-110650
RIA
Registered Investment Advisory firm - (6/9/2017 Approved)Florida
Registered Investment Advisory firm - (12/21/2017 Terminated)Minnesota
Registered Investment Advisory firm - (12/21/2017 Terminated)Wisconsin
Registered Investment Advisory firm - (12/21/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3065 Center Pointe Drive Suite 2, Roseville, MN 55113
Mailing Address
Phone number
(651) 490-2939
Established
Firm type
Fiscal year end
# of Employees
13
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,251 |
| AUM (Assets Under Management) | $ 632,510,025 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
