Scott Maxwell Frost | Financial Professional | Milton, Pennsylvania

Professional summary

Scott Maxwell Frost, who also goes by Scott Maxwell Frost, Scott Frost, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Milton, Pennsylvania.

Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Scott has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Scott Maxwell Frost | Scott Frost

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.) First Commonwealth Bank. Financial Adviser. Yes, Investment related Started Sept 2019 2.) Burough of Selingsrove. Councilman. started Jan 2022. Not investment related. Government. Approx 4 hours per month.

Blog Corner

CRS (Client Relationship Summary) - RIA

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

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Scott Maxwell Frost'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

September 6, 2019 - Present

OSAIC INSTITUTIONS, INC.

Office #1: 537 Mahoning Street, Milton, PA 17847Office #2: 7125 West Branch Highway, Lewisburg, PA 17837Office #3: 315 Mill Street, Danville, PA 17821Office #4: 355 Broad Street, Montoursville, PA 17754Office #5: 222 Alegheny Street, Jersey Shore, PA 17740Office #6: 1535 North Atherton Street, State College, PA 16803Office #7: 364 Erie Avenue, Renovo, PA 17764Office #8: 448 Bellefonte Avenue, Lock Haven, PA 17745Office #9: 250 Main Street, Beech Creek, PA 16822Office #10: 301 Shiffler Avenue, Williamsport, PA 17701Office #11: 251 South Market Street, South Williamsport, PA 17702Office #12: 4320 Linglestown Road, Harrrisburg, PA 17112Office #13: 1625 Market Street, Camp Hill, PA 17011Office #14: 6480 Carlisle Pike, Mechanicsburg, PA 17050Office #15: 105 Lancaster Ave, Devon, PA 19333Office #16: 2003 S. Easton Rd, Suite 205, Doylestown, PA 18901Office #17: 22 East Roseville Rd., Lancaster, PA 17601Office #18: 20 S. Main Stree, Muncy, PA 17756Office #19: 1201 W. Governor Rd, Hummelstown, PA 17036

RIA

BD

CRD#: 35371

Milton, PA

Current

September 6, 2019 - Present

OSAIC INSTITUTIONS, INC.

Office #1: 537 Mahoning Street, Milton, PA 17847Office #2: 7125 West Branch Highway, Lewisburg, PA 17837Office #3: 315 Mill Street, Danville, PA 17821Office #4: 355 Broad Street, Montoursville, PA 17754Office #5: 222 Alegheny Street, Jersey Shore, PA 17740Office #6: 1535 North Atherton Street, State College, PA 16803Office #7: 364 Erie Avenue, Renovo, PA 17764Office #8: 448 Bellefonte Avenue, Lock Haven, PA 17745Office #9: 250 Main Street, Beech Creek, PA 16822Office #10: 301 Shiffler Avenue, Williamsport, PA 17701Office #11: 251 South Market Street, South Williamsport, PA 17702Office #12: 4320 Linglestown Road, Harrrisburg, PA 17112Office #13: 1625 Market Street, Camp Hill, PA 17011Office #14: 6480 Carlisle Pike, Mechanicsburg, PA 17050Office #15: 105 Lancaster Ave, Devon, PA 19333Office #16: 2003 S. Easton Rd, Suite 205, Doylestown, PA 18901Office #17: 22 East Roseville Rd., Lancaster, PA 17601Office #18: 20 S. Main Stree, Muncy, PA 17756Office #19: 1201 W. Governor Rd, Hummelstown, PA 17036

RIA

BD

CRD#: 35371

Milton, PA

Past

October 9, 2018 - September 6, 2019

SANTANDER SECURITIES LLC

RIA

CRD#: 41791

MILTON, PA

Past

September 24, 2018 - September 6, 2019

SANTANDER SECURITIES LLC

BD

CRD#: 41791

MILTON, PA

Past

January 16, 2018 - September 13, 2018

HORNOR, TOWNSEND & KENT, LLC

BD

CRD#: 4031

HUMMELS WHARF, PA

Past

May 17, 2016 - January 17, 2018

THRIVENT INVESTMENT MANAGEMENT INC.

BD

CRD#: 18387

SELINSGROVE, PA

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".

OI

OSAIC INSTITUTIONS, INC.

CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.

CRD#: 35371 / SEC#: 801-67242, 8-46661

RIA

Registered Investment Advisory firm - SEC (11/2/2006 Approved)

Connecticut

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Florida

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Indiana

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Maine

Registered Investment Advisory firm - SEC (12/7/2006 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (3/23/2007 Terminated)

New Hampshire

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Ohio

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

BD

Broker-Dealer Firm Regulated by FINRA (Boston district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(4/22/2022)

RR

Pennsylvania
(9/6/2019)

IAR

Pennsylvania
(9/6/2019)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/5/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 6/4/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 5/17/2016

General Securities Representative Examination

SRO Registrations

RR

FINRA

Current Firm

OI

OSAIC INSTITUTIONS, INC.

CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.

CRD#: 35371 / SEC#: 801-67242, 8-46661

RIA

Registered Investment Advisory firm - SEC (11/2/2006 Approved)

Connecticut

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Florida

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Indiana

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Maine

Registered Investment Advisory firm - SEC (12/7/2006 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (3/23/2007 Terminated)

New Hampshire

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Ohio

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

BD

Broker-Dealer Firm Regulated by FINRA (Boston district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

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

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

Contact information

Main Address

538 Preston Avenue, Meriden, CT 06450-4858

Mailing Address

538 Preston Avenue, Meriden, CT 06450-4858

Phone number

(203) 599-6000

Established

Connecticut since 04/07/1993

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

630

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADV 2A (3/31/2025)

ADV WRAP APPENDIX - AMP (3/31/2025)

ADV WRAP APPENDIX - ADVISOR MANAGED (LEGACY USE ONLY) (3/31/2025)

ADV WRAP APPENDIX - WEALTHSELECT (LEGACY USE ONLY) (3/31/2025)

ADV WRAP APPENDIX - UMA (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC INSTITUTIONS HOLDINGS, INC.	HOLDING COMPANY
AMARANTE, STEPHEN PAUL	PRESIDENT, CEO AND DIRECTOR	3165067
CORNICK, GREGORY ALLEN	DIRECTOR	3132991
HAMMOND, DORI JAMILLE	CHIEF COMPLIANCE OFFICER	3259012
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS	2627931

Regulatory assets under management

Total Number of Accounts	8,779
AUM (Assets Under Management)	$ 4,024,448,971

Disclosures

Regulatory Event

8

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.

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Scott M. Frost

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

OSAIC INSTITUTIONS, INC.

SANTANDER SECURITIES LLC

SANTANDER SECURITIES LLC

HORNOR, TOWNSEND & KENT, LLC

THRIVENT INVESTMENT MANAGEMENT INC.

Primary Firm SEC Registration

OSAIC INSTITUTIONS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/5/2018

Series 63

Date: 6/4/2016

SIE

Date: 10/1/2018

Series 7

Date: 5/17/2016

FINRA

Current Firm

OSAIC INSTITUTIONS, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

OSAIC INSTITUTIONS, INC.

TRUST BUT VERIFY

Similar Advisors