Scott Corey Flood

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2002 → 06/2020
  Royal Alliance Associates, Inc.
  Scarsdale, NY
• 06/2020 → Present
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 06/2020 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA

Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING 06/26/20 2) SCOTT FLOOD, 700 WHITE PLAINS RD, STE 255, SCARSDALE, NY, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES,02/01/02, NIR, 50/YR- 0/TRADING 3)) SCOTT FLOOD, 700 WHITE PLAINS RD, STE 255, SCARSDALE, NY, CPA/ENROLLED AGENT/TAX PREP/ACCOUNTING- 02/01/02, NIR, 200/YR- 0/TRADING

Exams

• S65 Uniform Investment Adviser Law Examination
  2003-08-21
• S63 Uniform Securities Agent State Law Examination
  1999-04-30