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Scott Allen Hume

Investment Adviser Representative at BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.

Cedar Rapids, IACRD #2894512Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
29 yrs
States Registered
22 states
Exams Passed
8

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Scott Allen Hume has worked in the securities industry since 1997. They are registered to provide investment advisory services in 22 U.S. states.

Registrations & licenses

Registration type
Dual-registered
Registered in 22 states
AlaskaArizonaCaliforniaColoradoFloridaGeorgiaIdahoIllinoisMinnesotaMissouriMontanaNevadaNew HampshireNew MexicoNew YorkNorth DakotaOhioOregonTexasUtahWashingtonWyoming
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 5/23/1997
Series 63
Uniform Securities Agent State Law Examination
Passed 5/20/1997
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 31
Futures Managed Funds Examination
Passed 10/28/2009
Series 7
General Securities Representative Examination
Passed 6/16/1997
Series 24
General Securities Principal Examination
Passed 6/9/2016
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 6/20/2000
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 5/30/2000

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Account minimum: $25,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Berthel Fisher & Company Financial Services, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

BFC PLANNING, INC.Current
12/5/2025Cedar Rapids, IA
MOLONEY SECURITIES ASSET MANAGEMENT LLC
2/23/201612/5/2025Bellingham, WA
MOLONEY INVESTMENT ADVISORY LLC
2/10/201612/31/2016Bellingham, WA
MOLONEY SECURITIES CO., INC.
1/29/20164/13/2016Bellingham, WA
RBC CAPITAL MARKETS, LLC
4/27/20072/19/2016Bellingham, WA
A. G. EDWARDS & SONS, INC.
5/21/19985/2/2007Bellingham, WA

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Scott Allen Hume has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Scott Allen Hume - Financial Advisor in Cedar Rapids, IA | AdvisorFinder