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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)28 years in industry

SCOTT THOMAS AUNE

Advisor at RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Reston, VA

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Search this name across graphsid dfx:ria:fcb5f392-6e67-7917-c7fb-ca53eee6d010

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Nov 20, 2000 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 20, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Aug 20, 1998
First registration: Nov 20, 2000
Dual registered: yes, broker-dealer
IAPD individual key: 3073289

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jul 27, 2026	n/a	yes	Reston, VA	Current employment
NORTHWEST FINANCIAL ADVISORS LLC	Independent wealth	Sep 11, 2015	Jul 30, 2025	no	HERNDON, VA	Previous registration
ORION INVESTMENT ADVISORS, LLC	Former SEC adviser	May 26, 2009	Sep 15, 2015	no	MCLEAN, VA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Sep 16, 2005	Aug 28, 2015	no	MCLEAN, VA\|MCLEAN, VA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 1, 2003	Sep 16, 2005	no	MCLEAN, VA	Previous registration
PRUDENTIAL EQUITY GROUP, LLC	n/a	Nov 20, 2000	Jul 1, 2003	no	VIENNA, VA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
NORTHWEST FINANCIAL ADVISORS LLC	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Jul 30, 2025	Jul 27, 2026	362	Firm change	RIA to ibd
ORION INVESTMENT ADVISORS, LLC	NORTHWEST FINANCIAL ADVISORS LLC	Sep 15, 2015	Sep 11, 2015	-4	Firm change	Other
WELLS FARGO ADVISORS	ORION INVESTMENT ADVISORS, LLC	Aug 28, 2015	May 26, 2009	-2,285	Firm change after gap	Other
WELLS FARGO ADVISORS	WELLS FARGO ADVISORS	Sep 16, 2005	Sep 16, 2005	0	Channel change	Wirehouse to wirehouse
PRUDENTIAL EQUITY GROUP, LLC	WELLS FARGO ADVISORS	Jul 1, 2003	Jul 1, 2003	0	Bulk transfer	Other

Relationships

Registered with (6)

→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: current employment
Jul 27, 2026 to presentfactForm ADV
→ NORTHWEST FINANCIAL ADVISORS LLCRegistered adviserregistration: previous registration
Sep 11, 2015 to Jul 30, 2025factForm ADV
→ ORION INVESTMENT ADVISORS, LLCRegistered adviserregistration: previous registration
May 26, 2009 to Sep 15, 2015factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Sep 16, 2005 to Aug 28, 2015factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 1, 2003 to Sep 16, 2005factForm ADV
→ PRUDENTIAL EQUITY GROUP, LLCRegistered adviserregistration: previous registration
Nov 20, 2000 to Jul 1, 2003factForm ADV

Dated events

Occurred
Jul 30, 2025
Advisor changed firm
Scott Thomas Aune left Northwest Financial Advisors Llc for Raymond James Financial Services Advisors, Inc (registered 2026-07-27)
Form ADVobserved 4 days ago