Scott
Findeisen

Spc

CRD#1253744
Investment Advisor
in Westerly, RI

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About this Advisor

Scott Findeisen is a financial advisor working out of Westerly, Rhode Island, who has 10 years of work experience. Findeisen is currently employed by Spc. Findeisen has gained experience at Sammons Securities Company LLC, Spc and Parkland Securities. Findeisen holds Series 63 and Series 65 licenses, certifying them as both a securities agent and an investment advisor representative, and can advise clients in Connecticut, Florida, Massachusetts and Rhode Island. Spc is a financial advisory company based out of Westerly, Rhode Island. The firm has offices in 464 locations and a total of 705 advisors. It manages $5 billion in assets under management across its 25,865 client accounts, making it one of the biggest financial advisory firms in the United States by assets under management. The firm advises 13 charitable organizations. Of its 25,865 client accounts, just 9% are held by high-net-worth clients who have at least $1 million in investable assets. Spc provides a diverse array of services, including financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers, educational seminars and other services. Financial advisory fees typically depend on which service is offered. However, fees billed by Spc likely are comprised of any blend of asset-based, hourly, fixed and other fees.

Certifications and Registrations

Series 63, Series 65

Years of Experience

10 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Educational seminars/workshops, Other

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Others

Disclosures

No

Office Location

101 Franklin Street
Westerly, RI 02891

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Spc Brokerage Details

Total Assets Under Management

$4,557,672,608

RI Average: $943,424,332
Total Number of Employees

705

RI Average: 21
Total Number of Accounts

25,865

RI Average: 1,586
Average Account Size

$176,210

RI Average: $594,845

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Educational seminars/workshops
  • Other

Scott Findeisen Work History

Scott has 10 years of experience.

2014 - Present (8 years)

Parkland Securities

2010 - Present (12 years)

Spc

2010 - 2014 (4 years)

Sammons Securities Company LLC

Disclosures

Scott Findeisen has no disclosures.

Please visit their SEC profile for more details.

Financial Advisors at Spc

Robert Wilber
Elyria, OH
Gregory Genter
Allen Park, MI
Thomas Schalk
Gainesville, TX
James Sadek
Austin, TX
Stacy Talarico
Ann Arbor, MI
Craig Freund
Lisle, IL
Brandon Grammatico
Ann Arbor, MI
Brandon Konda
Irvine, CA

The content in this profile was updated by SmartAsset on 08/06/2020 using publicly available data compiled from the SEC and FINRA. To report any data inconsistencies or errors, please contact profile-compliance@smartasset.com. The named financial professional and firm have not reviewed, approved, or endorsed this profile and are not responsible for its accuracy. Profile content is produced by SmartAsset independently of any business relationships that might exist between SmartAsset and the named financial professional and firm, and financial professionals and firms having business relationships with SmartAsset receive no special treatment or consideration in SmartAsset’s profiles.

This page contains links to SmartAsset’s financial advisor matching tool, which may or may not match you with the advisor or firm mentioned in this profile. The matching tool does not include all available advisors and firms and matches based on specific criteria (investable assets, geography, and willingness to work with a remote advisor).

Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

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