Scott W. Hancock

OAK CAPITAL ADVISORS

Dallas, TX

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CRD#: 861860

Professional summary

Scott Weldon Hancock is a registered financial advisor currently at OAK CAPITAL ADVISORS located in Dallas, Texas.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1979. Scott has worked at 5 firms and has passed the Series 66, Series 63, Series 7, Series 15, Series 5 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.

MEMBER OF BOARD OF DIRECTORS OF SCHUEPBACH ENERGY, DALLAS, TX.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Weldon Hancock'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

March 7, 2012 - Present

OAK CAPITAL ADVISORS

RIA

CRD#: 161316

Dallas, TX

Past

May 13, 2004 - February 13, 2012

BESSEMER INVESTOR SERVICES, INC.

CRD#: 17442

DALLAS, TX

Past

July 2, 2003 - July 1, 2004

MAPLE HILL CAPITAL MANAGEMENT

RIA

CRD#: 127509

NORWICH, VT

Past

July 30, 2002 - March 4, 2003

UBS ASSET MANAGEMENT (US) INC.

RIA

CRD#: 583

WEST LEBANON, NH

Past

November 28, 2001 - March 4, 2003

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583

NEW YORK, NY

Past

February 1, 1979 - January 9, 1998

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

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".

OAK CAPITAL ADVISORS

OAK CAPITAL ADVISORS | SCOTT W. HANCOCK

CRD#: 161316 / SEC#: 801-120128

RIA

Registered Investment Advisory firm - (1/19/2021 Approved)

Louisiana

Registered Investment Advisory firm - (10/11/2021 Terminated)

Texas

Registered Investment Advisory firm - (10/5/2021 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).

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

Louisiana
(3/19/2014)

IAR

Texas
(3/7/2012)

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 66

Date: 2/15/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/21/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/27/2001

General Securities Representative Examination

General Industry/Product Exam

Series 15

Date: 7/11/1985

Foreign Currency Options Examination

General Industry/Product Exam

Series 5

Date: 10/5/1982

Interest Rate Options Examination

Principal/Supervisory Exam

Series 24

Date: 1/8/2002

General Securities Principal Examination

Current Firm

OAK CAPITAL ADVISORS

OAK CAPITAL ADVISORS | SCOTT W. HANCOCK

CRD#: 161316 / SEC#: 801-120128

RIA

Registered Investment Advisory firm - (1/19/2021 Approved)

Louisiana

Registered Investment Advisory firm - (10/11/2021 Terminated)

Texas

Registered Investment Advisory firm - (10/5/2021 Terminated)

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Contact information

Main Address

Dallas, TX

Mailing Address

Phone number

(214) 443-0571

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OAK CAPITAL ADVISORS FIRM BROCHURE 2025 (1/15/2025)

Regulatory assets under management

Total Number of Accounts	91
AUM (Assets Under Management)	$ 164,981,207

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 W. Hancock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Weldon Hancock's CRS (Customer Relationship Summary).

Certified licenses

Experience

BESSEMER INVESTOR SERVICES, INC.

MAPLE HILL CAPITAL MANAGEMENT

UBS ASSET MANAGEMENT (US) INC.

UBS ASSET MANAGEMENT (US) INC.

GOLDMAN SACHS & CO. LLC

Primary Firm SEC Registration

OAK CAPITAL ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 2/15/2002

Series 63

Date: 4/21/1982

Series 7

Date: 11/27/2001

Series 15

Date: 7/11/1985

Series 5

Date: 10/5/1982

Series 24

Date: 1/8/2002

Current Firm

OAK CAPITAL ADVISORS

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OAK CAPITAL ADVISORS

TRUST BUT VERIFY

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