ST
Scott W. Turner
LANDOLT SECURITIES
Tryon, NC
Some features on this profile are disabled
CRD#: 866513
ST
Professional summary
Scott Whitney Turner, who also goes by Sandy Turner, is a registered financial advisor currently at LANDOLT SECURITIES, INC. located in Tryon, North Carolina.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Scott has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sandy Turner
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.
NAME: TURNER TRADING LLC IT IS ADMINISTRATIVE AND NON-INVESTMENT DECISION MAKING. ADDRESS: 270 E. WESTMINISTER, LAKE FOREST, IL 60045. THE NATURE OF THE BUSINESS IS TO HELP THE OLD BAILEY COMPANY WITH THE ADMINISTRATIVE ASPECTS OF THEIR BUSINESS. POSITION IS AS AN INDEPENDANT CONTRACTOR. THE COMPENSATION ASPECT OF THE RELATIONSHIP BEGAN 03/31/2010. HOURS/MONTH ARE 20-40 WITH NO HOURS DEVOTED DURING TRADING HOURS. DUTIES INCLUDE: ASSISTANCE WITH THE TAX RELATED DOCUMENTATION AND RECORD KEEPING, BACK-UP PHONE SUPPORT, REGULAR EVALUATIONS OF CUSTOMER SECURITIES ACCOUNT POSITIONS TO ENSURE PROPER PERCENTAGE ALLOCATIONS ARE IN PLACE. REGULAR FOLLOW-UP AND REVIEW OF ALL ACCOUNT ACTIVITY TO ENSURE INCOMING AND OUTGOING CASH AND SECURITIES ARE PROPERLY AND ACCURATELY RECORDED. ANY OTHER NON-INVESTMENT DECISION RELATED ACTIVITIES. I am co-trustee for 5 family accounts (Dorothy F Mcmillan Art V, Dorothy F Mcmillan Art VI, Emily Rolfs, Edward Blackwell, Reed Turner Rolfs)
CRS (Client Relationship Summary) - RIA
Click below to view Scott Whitney Turner's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Scott Whitney Turner'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®
NoneExperience
Current
April 19, 2010 - Present
LANDOLT SECURITIES, INC.
RIA
BD
CRD#: 28352
Tryon, NC
Current
November 16, 2009 - Present
LANDOLT SECURITIES, INC.
Office #1: 900 North Shore Drive Suite 279, Lake Bluff, IL 60044RIA
BD
CRD#: 28352
Lake Bluff, IL
Past
March 7, 2003 - December 18, 2006
GREAT LAKES ADVISORS, LLC
RIA
CRD#: 110757
CHICAGO, IL
Past
March 7, 2003 - November 17, 2009
WINTRUST INVESTMENTS LLC
BD
CRD#: 875
LAKE FOREST, IL
Past
January 16, 2001 - March 20, 2003
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
CHICAGO, IL
Past
January 12, 2001 - March 20, 2003
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
January 2, 1997 - January 18, 2001
ABN AMRO INCORPORATED
BD
CRD#: 15776
STAMFORD, CT
Past
June 4, 1981 - January 2, 1997
THE CHICAGO CORPORATION
BD
CRD#: 1449
CHICAGO, IL
Past
May 24, 1979 - June 22, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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
California(4/5/2013)
RR
Colorado(4/5/2013)
RR
Illinois(11/16/2009)
IAR
Illinois(4/19/2010)
RR
Michigan(4/5/2013)
RR
North Carolina(11/16/2009)
IAR
North Carolina(2/6/2023)
RR
Oregon(4/5/2013)
RR
Wisconsin(4/5/2013)
IAR
Wisconsin(5/17/2017)
RR
Wyoming(2/19/2015)
IAR
Wyoming(2/6/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LS
LANDOLT SECURITIES, INC.
FISN | TORII ASSET MANAGEMENT | TK CHEN FINANCIAL SERVICES LLC | THE WEALTH PROTECTION GROUP LLC | THE WEALTH PROTECTION GROUP | LESLIE FINANCIAL LLC | LANDOLT SECURITIES, INC.
CRD#: 28352 / SEC#: , 8-43645
Illinois
Registered Investment Advisory firm - SEC (10/10/2006 Approved)Indiana
Registered Investment Advisory firm - SEC (3/23/2020 Approved)North Carolina
Registered Investment Advisory firm - SEC (8/16/2017 Approved)Ohio
Registered Investment Advisory firm - SEC (7/6/2017 Approved)Texas
Registered Investment Advisory firm - SEC (4/28/2020 Approved)Wisconsin
Registered Investment Advisory firm - SEC (3/26/2002 Approved)Wyoming
Registered Investment Advisory firm - SEC (7/25/2017 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
900 North Shore Drive Suite 279, Lake Bluff, IL 60044
Mailing Address
900 North Shore Drive Suite 279, Lake Bluff, IL 60044
Phone number
(847) 838-5151
Established
Wisconsin since 11/09/1989
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees
11
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 279 |
| AUM (Assets Under Management) | $ 105,626,273 |
Disclosures
| Regulatory Event | 4 |
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.
