Jeffrey R. Scott

PENNFIELD CAPITAL

SOUTH BEND, IN 46601

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CRD#: 6758242

Professional summary

Jeffrey Raymond Scott Mr., who also goes by Jeffrey Raymond Scott, is a registered financial advisor currently at PENNFIELD CAPITAL CORP located in South Bend, Indiana.

Jeffrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Jeffrey has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jeffrey Raymond 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Raymond Scott Mr.'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®

None

Experience

Current

February 15, 2017 - Present

PENNFIELD CAPITAL CORP

Office #1: 202 South Michigan Street - Suite 325, South Bend, IN 46601

RIA

CRD#: 111464

SOUTH BEND, IN

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

Connecticut
(2/15/2017)

IAR

Indiana
(2/15/2017)

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 65

Date: 11/18/2016

Uniform Investment Adviser Law Examination

Current Firm

PENNFIELD CAPITAL CORP

CRD#: 111464 / SEC#: 801-35601

RIA

Registered Investment Advisory firm - (6/15/2012 Terminated)

Connecticut

Registered Investment Advisory firm - (6/4/2012 Approved)

Indiana

Registered Investment Advisory firm - (3/12/2012 Approved)

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).

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Contact information

Main Address

202 South Michigan Street - Suite 325, South Bend, IN 46601

Mailing Address

Phone number

(574) 968-9010

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	154
AUM (Assets Under Management)	$ 68,144,383

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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Jeffrey R. Scott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Raymond Scott Mr.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

PENNFIELD CAPITAL CORP

State Registrations and Notice Filings

Exams

Series 65

Date: 11/18/2016

Current Firm

PENNFIELD CAPITAL CORP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PENNFIELD CAPITAL CORP

TRUST BUT VERIFY

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