Scott W. Wallace

THRIFTY SCOTTY FINANCIAL

Round Rock, TX

Some features on this profile are disabled

CRD#: 6389750

Professional summary

Scott Wayne Wallace, CFP®, who also goes by Scotty Wallace, is a registered financial advisor currently at THRIFTY SCOTTY FINANCIAL, LLC located in Round Rock, Texas.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Scott has worked at 5 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Scotty Wallace

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 Wayne Wallace'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: 2017

Experience

Current

March 29, 2018 - Present

THRIFTY SCOTTY FINANCIAL, LLC

RIA

CRD#: 292418

Round Rock, TX

Past

December 27, 2016 - February 20, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

AUSTIN, TX

Past

December 27, 2016 - February 20, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

AUSTIN, TX

Past

March 8, 2016 - July 1, 2016

CHARLES SCHWAB & CO., INC.

CRD#: 5393

AUSTIN, TX

Past

January 26, 2016 - July 1, 2016

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

AUSTIN, TX

Past

March 26, 2015 - August 18, 2015

PER STIRLING CAPITAL MANAGEMENT, LLC

RIA

CRD#: 151671

AUSTIN, TX

Past

September 8, 2014 - September 16, 2015

"TATE ASSET MANAGEMENT" AND "DCO WEALTH MANAGEMENT"

RIA

CRD#: 160657

RANCHO SANTA FE, CA

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

Texas
(3/29/2018)

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

Series 63

Date: 3/11/2016

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/8/2014

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 2/20/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/8/2016

General Securities Representative Examination

Current Firm

THRIFTY SCOTTY FINANCIAL, LLC

CRD#: 292418 / SEC#:

Texas

Registered Investment Advisory firm - (3/29/2018 Approved)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Round Rock, TX

Mailing Address

Phone number

(972) 898-4644

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	11
AUM (Assets Under Management)	$ 4,057,348

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.

Similar Advisors

Guy Peel

OSAIC WEALTH, INC.

IAR

Helena, MT

Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

IAR

Estero, FL

Jeffrey Meotti

MORGAN STANLEY

IAR

MADISON, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Scott W. Wallace

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

THRIFTY SCOTTY FINANCIAL, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

PER STIRLING CAPITAL MANAGEMENT, LLC

"TATE ASSET MANAGEMENT" AND "DCO WEALTH MANAGEMENT"

State Registrations and Notice Filings

Exams

Series 63

Date: 3/11/2016

Series 65

Date: 9/8/2014

SIE

Date: 2/20/2018

Series 7

Date: 3/8/2016

Current Firm

THRIFTY SCOTTY FINANCIAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

THRIFTY SCOTTY FINANCIAL, LLC

TRUST BUT VERIFY

Similar Advisors