Walter Keating Scott

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:

Current Employers

Cambridge Investment Research Advisors, Inc.

1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2025-02-15
NJ	RA	APPROVED	2018-10-18

TX RA
APPROVED_RES

Since 2025-02-15
NJ RA
APPROVED

Since 2018-10-18

Branch Locations

89 Headquarter Plaza North Tower 14Th Floor, Morristown, NJ 07960 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Signator Investors, Inc.	Roseland	NJ	03/2004	10/2018
Law Office Of Walter K. Scott	Somerset	NJ	10/2003	Present
Cambridge Investment Research, Inc.	Fairfield	IA	10/2018	Present
Cambridge Investment Research Advisors, Inc.	Fairfield	IA	10/2018	Present

03/2004 → 10/2018

Signator Investors, Inc.

Roseland, NJ
10/2003 → Present

Law Office Of Walter K. Scott

Somerset, NJ
10/2018 → Present

Cambridge Investment Research, Inc.

Fairfield, IA
10/2018 → Present

Cambridge Investment Research Advisors, Inc.

Fairfield, IA

Previous Registrations

2005-07-14 → 2018-10-19

Signator Investors, Inc.

Livingston, NJ

Roseland, NJ

Other Businesses

1.WHELAN SCOTT ASSET MANAGEMENT, 63 RUPPERT DR, SOMERSET, NJ, 9/2003 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 5/WK - 0/TRADING. 2.WALTER K SCOTT, ESQ, ATTORNEY, 63 RUPPERT DR, SOMERSET, NJ, 9/01/2003 PROVIDING LEGAL SERVICES TO CLIENTS. NIR - 5/WK - 5/TRADING. 3. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. 10/18/18. 4) WHELAN SCOTT ASSET MANAGEMENT, LLC, ONE MADISON AVE, MORRISTOWN, NJ, RENTL PROPERTY OWNER/LANDLORD, 05/07/19, NIR, 10 HR/YR- 0/TRADING HR. 5) SCOTT HALL, LLC, 6052 SEMINOLE DRIVE, FLOWERY BRANCH, GA, RENTAL REAL ESTATE, 01/07/14, NIR, 10 HR/YR- 0/TRADING HR.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-11-19

S66 Uniform Combined State Law Examination

2004-11-19

View on SEC IAPD