Scott A. Wigren
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 Alden Wigren was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1975. Scott had worked at 8 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - December 31, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 3, 2005 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 31, 1990 - January 8, 2020
ALDEN CAPITAL MANAGEMENT LLC
December 18, 1989 - December 31, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 13, 1985 - January 3, 1990
UBS FINANCIAL SERVICES INC.
June 12, 1979 - September 20, 1985
E. F. HUTTON & COMPANY INC
August 27, 1976 - July 25, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
March 20, 1975 - February 27, 1976
BACHE & CO., INCORPORATED
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
