Starting in Finance while still in school, Scott has over 15 years of experience helping people plan for retirement and beyond. Scott is a CFA® Charter holder - the passage of which requires three rigorous tests that require extensive knowledge of financial markets and derivatives. Scott holds the AAMS® and AWMA® designations from the College for Financial Planning. He has also passed the Series 6, 7, 9, 10, and 63 exams. He also has his Life and Health Insurance licenses.
CFA Institute Designations
The CFA Institute is an investment industry organization whose mission is to lead the investment profession globally by promoting the highest standards of ethics, education, and professional excellence for the ultimate benefit of society.
CFA® — Chartered Financial Analyst Charterholder®
The Chartered Financial Analyst (CFA) charter is a professional designation established in 1962 and awarded by CFA Institute. To earn the CFA charter, candidates must pass three sequential, six-hour examinations over two to four years. The three levels of the CFA Program test a wide range of investment topics, including ethical and professional standards, fixed-income analysis, alternative and derivative investments, and portfolio management and wealth planning. In addition, CFA charterholders must have at least four years of acceptable professional experience in the investment decision-making process and must commit to abide by, and annually reaffirm, their adherence to the CFA Institute Code of Ethics and Standards of Professional Conduct.
College for Financial Planning Designations
Founded in 1972, the College for Financial Planning is a premier provider of financial planning education. The College is a wholly owned subsidiary of Apollo Group, Inc. located in Phoenix, AZ.
AAMS® - Accredited Asset Management SpecialistSM
To earn the designation, candidates must complete a self-study program, pass an exam, and agree to comply with a code of ethics. The program covers several topics, including the asset management process, asset allocation and selection, investment strategies, and taxation of investment products.
AWMA® - Accredited Wealth Management AdvisorSM
Individuals who hold this designation have completed a course of study encompassing wealth strategies, equity-based compensation plans, tax reduction alternatives, and asset protection alternatives.
A candidate who passes the Series 6 exam is permitted to solicit, purchase and/or sell mutual funds, variable annuities, variable life insurance, unit investment trusts, and municipal fund securities.
A candidate who passes the Series 7 exam is permitted to solicit, purchase and/or sell all securities products, including corporate securities, municipal fund securities, options, direct participation programs, investment company products and variable contracts.
A candidate who passes the Series 9 & 10 exams is permitted to supervise sales activities in corporate securities (equity and debt), investment company products and variable contracts, municipal securities, options, government securities and direct participation programs.
A candidate who passes the Series 63 is permitted to solicit orders for any type of security in a particular state. Securities agents must acquire the Series 63 license, in addition to a Series 7 or Series 6 license, to sell securities.
Check out the background of this firm on FINRA's BrokerCheck.
Scott David Roelofs, CFA®, AWMA®, AAMS®
Owner/Branch Manager/Financial Advisor
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