Scott is an experienced compliance consultant with a strong background in both RIA and broker-dealer compliance. He began his financial services career in 2006 as a Registered Representative with E*Trade Financial in Alpharetta, GA. Scott has also worked with J.P. Morgan Private Banking in Chicago, IL and with Wells Fargo Advisors in Chapel Hill, NC.

Scott previously held the title of Compliance Officer at Carolinas Investment Consulting in Charlotte NC. This firm is a dually registered RIA and Broker Dealer firm, managing approximately $1 Billion in Assets Under Management. He’s a graduate of The University of North Carolina at Chapel Hill and formerly held FINRA Series 7, 63, 65, 24, 4 and 53 Licenses.

More recently Scott was employed as Director of Compliance and Senior Compliance Consultant for XY Planning Network. There he pioneered, designed, and developed the suite of compliance services as the firm experienced growth from roughly 150 firms to over 1,200 firms in just 4 years.

Scott lives in Charlotte, NC with his wife Meredith, and their two sons Tyson and Jackson and daughter Eva. In his free time, Scott enjoys watching sports, exercising, and operating the charitable organization he created upon his father’s passing.