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Detailed Report
Scott Franklin McCullah
SCOTT FRANKLIN MCCULLAH, Scott McCullah
CRD#: 841702
IA
Investment Adviser
B
Broker
ADVICE AND PLANNING SERVICESCRD#: 20472 35 NORTH LAKE AVENUE
SUITE 800
PASADENA, CA 91101
Registration History
1985199019952000200520102015202020252 FIRMS2009 - 2012 (3 years)2 FIRMS2012 - 2024 (11 years)2 FIRMS2024 - Present (<1 year)BWAMU INVESTMENTS, INC. (CRD# 599)2002 - 2009 (7 years)BMORGAN STANLEY DW INC. (CRD# 7556)1997 - 2002 (4 years)BWELLS FARGO SECURITIES INC. (CRD# 17438)1994 - 1997 (3 years)BFIRST INTERSTATE INVESTMENTS,INC. (CRD# 17101)1996 - 1996 (<1 year)BGREAT WESTERN FINANCIAL SECURI... (CRD# 14229)1992 - 1994 (1 year)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1988 - 1992 (3 years)BPRUDENTIAL-BACHE SECURITIES INC. (CRD# 7471)1985 - 1988 (2 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1981 - 1985 (4 years)IAWAMU INVESTMENTS, INC. (CRD# 599)2003 - 2009 (5 years)
Disclosure(s)
View By:
6/26/1992
Customer Dispute
Settled
6/26/1992
Customer Dispute
Settled
License(s)

State Registrations

B
California 7/2/2024
IA
California 7/2/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ADVICE AND PLANNING SERVICES (CRD#:20472)
35 NORTH LAKE AVENUE SUITE 800, PASADENA, CA 91101
San Dimas, CA
Registered with this firm since 7/2/2024
B
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472)
35 NORTH LAKE AVENUE SUITE 800, PASADENA, CA 91101
San Dimas, CA
Registered with this firm since 7/1/2024
Previous Registration(s)
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IA
 10/01/2012 - 06/11/2024 J.P. MORGAN SECURITIES LLC (CRD#:79) Glendora, CA
B
 10/01/2012 - 06/11/2024 J.P. MORGAN SECURITIES LLC (CRD#:79) Glendora, CA
IA
 05/02/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) MONROVIA, CA
B
 05/02/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) MONROVIA, CA
IA
 07/28/2003 - 05/02/2009 WAMU INVESTMENTS, INC. (CRD#:599) GLENDORA, CA
B
 03/04/2002 - 05/02/2009 WAMU INVESTMENTS, INC. (CRD#:599) GLENDORA, CA
B
 05/29/1997 - 02/07/2002 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
 03/02/1994 - 06/05/1997 WELLS FARGO SECURITIES INC. (CRD#:17438) SAN FRANCISCO, CA
B
 06/19/1996 - 09/20/1996 FIRST INTERSTATE INVESTMENTS,INC. (CRD#:17101)
B
 06/24/1992 - 02/16/1994 GREAT WESTERN FINANCIAL SECURITIES CORPORATION (CRD#:14229) NORTHRIDGE, CA
B
 07/05/1988 - 06/12/1992 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
B
 11/18/1985 - 07/12/1988 PRUDENTIAL-BACHE SECURITIES INC. (CRD#:7471)
B
 12/23/1981 - 12/03/1985 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.