Scott Richard Marion | Financial Professional | Knoxville, Tennessee

Professional summary

Scott Richard Marion is a registered financial advisor currently at CORECAP ADVISORS located in Knoxville, Tennessee and CORECAP INVESTMENTS, LLC located in Knoxville, Tennessee.

Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Scott has worked at 3 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

*Capital Choice Financial Services; same as branch; inv rel; helping people understand money, to get out of debt, build up savings, invest for the future, protect the plan with insurance and protect income in retirement with annuities; Associate Marketing Director; start date=10/2017; hrs/mo=160; trading hrs/mo=160; financial coach for the debt, agent for the insurance companies *F&M Capital, LLC; Partner; Short-term real estate rentals; approx. 1 hour per month; approx. 0 hours per month during trading hours;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Richard Marion'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

October 30, 2019 - Present

CORECAP ADVISORS

RIA

CRD#: 158819

Knoxville, TN

Current

October 29, 2019 - Present

CORECAP INVESTMENTS, LLC

Office #1: 111 Center Park Drive Suite 205, Knoxville, TN 37922

BD

CRD#: 37068

Knoxville, TN

Past

April 10, 2019 - November 4, 2019

AMERITAS INVESTMENT COMPANY, LLC

RIA

CRD#: 14869

Knoxville, TN

Past

January 11, 2019 - November 4, 2019

AMERITAS INVESTMENT COMPANY, LLC

BD

CRD#: 14869

Knoxville, TN

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".

CA

CORECAP ADVISORS

CRD#: 158819 / SEC#: 801-72687

RIA

Registered Investment Advisory firm - (8/30/2011 Approved)

Illinois

Registered Investment Advisory firm - (6/21/2012 Terminated)

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

Alabama
(7/25/2024)

IAR

Arizona
(11/6/2019)

IAR

Georgia
(9/29/2021)

RR

Georgia
(1/23/2024)

IAR

Indiana
(11/2/2021)

IAR

Michigan
(3/17/2021)

IAR

Nevada
(5/25/2021)

RR

North Carolina
(9/10/2020)

IAR

North Carolina
(12/5/2024)

IAR

Ohio
(1/10/2022)

RR

Tennessee
(10/29/2019)

IAR

Tennessee
(10/30/2019)

IAR

Wyoming
(10/9/2023)

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: 4/2/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 1/22/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 6TO

Date: 1/11/2019

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

RR

SIE

Date: 10/15/2018

Securities Industry Essentials Examination

SRO Registrations

RR

FINRA

Current Firm

CA

CORECAP ADVISORS

CRD#: 158819 / SEC#: 801-72687

RIA

Registered Investment Advisory firm - (8/30/2011 Approved)

Illinois

Registered Investment Advisory firm - (6/21/2012 Terminated)

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

27777 Franklin Road Suite 700, Southfield, MI 48034

Mailing Address

Phone number

(888) 296-3360

Established

Firm type

Fiscal year end

# of Employees

111

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CCA FORM ADV PART 2A MARCH 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	9,157
AUM (Assets Under Management)	$ 3,167,350,865

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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Advisor Monitoring

Firm Stability Insights

Scott R. Marion

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Richard Marion's CRS (Customer Relationship Summary).

Certified licenses

Experience

CORECAP INVESTMENTS, LLC

AMERITAS INVESTMENT COMPANY, LLC

AMERITAS INVESTMENT COMPANY, LLC

Primary Firm SEC Registration

CORECAP ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 4/2/2019

Series 63

Date: 1/22/2019

Series 6TO

Date: 1/11/2019

SIE

Date: 10/15/2018

FINRA

Current Firm

CORECAP ADVISORS

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CORECAP ADVISORS

TRUST BUT VERIFY

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