Unclaimed Profile

Scott O Conwell

ERN FINANCIAL, LLC·MIDDLETON, Wisconsin

SIE, Series 7, Series 7TO, Series 24, Series 26, Series 66Clean record19 years registeredERN FINANCIAL, LLC

8215 GREENWAY BOULEVARD, MIDDLETON, WI 53562CRD# 4238913Firm CRD# 297717

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Scott O Conwell · MIDDLETON, WI

Registration

CRD #4238913 · ERN FINANCIAL, LLC · 19 years registered

Brand Profile

Not yet started

Career History

HARBOUR INVESTMENTS, INC.

Jan 2024 – present

CANOPY WEALTH MANAGEMENT

Aug 2018 – Jan 2024

MIDDLETON, WI

NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC

Feb 2007 – Feb 2007

MIDDLETON, WI

NORTHWESTERN MUTUAL WEALTH MANAGEMENT COMPANY

Dec 2006 – Feb 2007

MILWAUKEE, WI

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 7TO

Series 24

Series 26

Series 66

Registration record

First registered · December 13, 2006

Years registered · 19

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

ERN FINANCIAL, LLC

CRD 297717 · SEC 801-113774

AUM

$1.3B

Regulatory assets under management

Employees

3,843 client accounts

Services offered by ERN FINANCIAL, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Market timing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at ERN FINANCIAL, LLC →

Introduction

Speak with Scott

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Scott is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in MIDDLETON?

Browse all registered financial advisors in MIDDLETON, Wisconsin or claim this profile if it's yours.

Browse MIDDLETON Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does Scott O Conwell offer?

Scott O Conwell specializes in Financial Planning, Investment Management. Contact their office in MIDDLETON, Wisconsin for a consultation.

What are Scott O Conwell's credentials?

Scott O Conwell is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Scott O Conwell located?

Scott O Conwell is based in MIDDLETON, Wisconsin, working with ERN FINANCIAL, LLC. Their office serves clients in the MIDDLETON metropolitan area and surrounding communities.

How does Scott O Conwell charge for services?

Scott O Conwell's firm is compensated through percentage of aum, hourly charges. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is ERN FINANCIAL, LLC?

ERN FINANCIAL, LLC has approximately 20 employees and manages $1.3B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →