Charles C. Scott

PELLETON CAPITAL MANAGEMENT, LTD.

SCOTTSDALE, AZ

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CRD#: 727236

Professional summary

Charles Curtis Scott, AIF® is a registered financial advisor currently at PELLETON CAPITAL MANAGEMENT, LTD. located in Scottsdale, Arizona.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Charles has worked at 9 firms and has passed the Series 65, Series 63, Series 31, Series 3, Series 7, Series 6 and Series 24 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.

SELF EMPLOYED SINCE 6/93 SELLING INSURANCE AS INDEPENDENT AGENT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Curtis Scott'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

August 10, 1999 - Present

PELLETON CAPITAL MANAGEMENT, LTD.

RIA

CRD#: 117679

SCOTTSDALE, AZ

Past

September 9, 1993 - December 5, 2002

PACIFIC WEST SECURITIES, INC.

CRD#: 6390

RENTON, WA

Past

May 5, 1992 - January 8, 1993

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

October 10, 1991 - March 5, 1992

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

May 31, 1991 - October 22, 1991

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

January 2, 1987 - November 22, 1988

MFS FINANCIAL SERVICES, INC.

CRD#: 18309

Past

June 20, 1986 - January 9, 1987

MASSACHUSETTS FINANCIAL SERVICES COMPANY

CRD#: 7383

Past

March 14, 1984 - February 28, 1986

PFS INVESTMENTS INC.

CRD#: 10111

Past

March 23, 1981 - August 26, 1981

EQUITEC SECURITIES COMPANY

CRD#: 6463

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

Arizona
(1/12/2000)

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: 5/29/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/19/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 12/3/2001

Futures Managed Funds Examination

General Industry/Product Exam

Series 3

Date: 11/25/1992

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/29/1991

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/12/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/31/1995

General Securities Principal Examination

Current Firm

PELLETON CAPITAL MANAGEMENT, LTD.

PELLETON CAPITAL MANAGEMENT, LTD. | REAL401KADVICE.COM

CRD#: 117679 / SEC#:

Arizona

Registered Investment Advisory firm - (8/15/2002 Approved)

Washington

Registered Investment Advisory firm - (5/13/2021 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

13951 N Scottsdale Road, Suite 225 Suite 225, Scottsdale, AZ 85254

Mailing Address

Phone number

(480) 513-1830

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	65
AUM (Assets Under Management)	$ 12,000,000

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Charles C. Scott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Curtis Scott's CRS (Customer Relationship Summary).

Certified licenses

Experience

PACIFIC WEST SECURITIES, INC.

MORGAN STANLEY DW INC.

PRUDENTIAL EQUITY GROUP, LLC

EDWARD JONES

MFS FINANCIAL SERVICES, INC.

MASSACHUSETTS FINANCIAL SERVICES COMPANY

PFS INVESTMENTS INC.

EQUITEC SECURITIES COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 5/29/1992

Series 63

Date: 6/19/1991

Series 31

Date: 12/3/2001

Series 3

Date: 11/25/1992

Series 7

Date: 5/29/1991

Series 6

Date: 3/12/1984

Series 24

Date: 10/31/1995

Current Firm

PELLETON CAPITAL MANAGEMENT, LTD.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PELLETON CAPITAL MANAGEMENT, LTD.

TRUST BUT VERIFY

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