Scott Marshall Steele
Investment Adviser Representative at Advice AND Planning Services
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Scott Marshall Steele is an investment adviser representative with Advice and Planning Services in Bellingham, WA, where they have been registered since 2025. They have worked in the securities industry since 1994 and have been registered with 6 firms, including Hennion & Walsh Asset Management, Inc. and Cetera Investment Advisers LLC. They have passed 5 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 24 (general securities principal). They are registered to provide investment advice in Washington.
Registrations & licenses
- Investment adviser:
- Washington
- Broker:
4 states and territories
Idaho, Montana, Oregon, Washington
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Calamos Financial Services LLCJun 2006 – Feb 2020Naperville, IL
- Calamos Advisors LLCJun 2006 – Feb 2020Naperville, IL
- Heritage BANKDec 2021 – Apr 2024Bellingham, WA
- Hennion & Walsh, IncDec 2024 – Oct 2025Parsippany, NJ
- UnemployedMar 2020 – Mar 2020Ataseadero, CA
- Dynasty FinancialApr 2020 – Sep 2021San Diego, CA
- UnemployedOct 2021 – Nov 2021San Deigo, CA
- Hennion & Walsh Asset Management, Inc.Dec 2024 – Oct 2025Parsippany, NJ
- Cetera Investment Advisers LLCDec 2021 – Apr 2024Bellingham, WA
- Cetera Investment Services LLCDec 2021 – Apr 2024Bellingham, WA
- TIAAOct 2025 – no end date reportedBellevue, WA
- Tiaa-cref Individual & Institutional Services, LLCOct 2025 – no end date reportedBellevue, WA
- UnemployedMay 2024 – Nov 2024Bellingham, WA
Official records & sources
Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Advice AND Planning Services
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Other
- Firm account minimum
- $5,000
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 1,648
- Offices listed on AdvisorFinder:
- 26
- Main office:
- New York, NY
- SEC file number:
- 801-63550
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of July 6, 2026
View full firm profileOther advisors at Advice AND Planning Services
Showing 12 of 1,648 in the directory
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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 Marshall Steele 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.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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