Scott A. Rossow
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Scott Andrew Rossow, CFP®, who also goes by Scott Rossow, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2015. Scott had worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2020 - September 12, 2022
PERSONAL CAPITAL ADVISORS CORPORATION
November 21, 2017 - November 11, 2020
VANGUARD ADVISERS, INC.
November 23, 2015 - November 11, 2020
VANGUARD MARKETING CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 12/22/2022
General Securities Representative ExaminationCurrent Firm
PERSONAL CAPITAL ADVISORS CORPORATION
CRD#: 155172 / SEC#: 801-72613
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 104,861 |
| AUM (Assets Under Management) | $ 23,087,723,467 |
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.
