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RIA / WealthAdvisorCertified Financial Planner14 years in industry

SCOTT S HALEY

Advisor at PRELUDE FINANCIAL

WADSWORTH, OH

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Search this name across graphsid dfx:ria:fe4375ed-aab5-4070-46ce-ca92ae194414

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jul 9, 2012 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: PRELUDE FINANCIAL
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 11, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66|S63
First exam: May 11, 2012
First registration: Jul 9, 2012
Dual registered: no
Other names: SCOTT STEVEN HALEY|SCOTT S DUNN|SCOTT S DUNN|SCOTT S DUNN|SCOTT S HALEY
IAPD individual key: 5919854

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
PRELUDE FINANCIAL	State registered	Feb 8, 2016	n/a	yes	WADSWORTH, OH	Current employment
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Sep 15, 2015	Oct 28, 2015	no	AKRON, OH	Previous registration
STOREY & ASSOCIATES	Former SEC adviser	Jul 21, 2014	Jun 1, 2015	no	NORTH CANTON, OH	Previous registration
SCOTT SNOW (FINANCIAL ADVISORS) LLC	Former SEC adviser	Feb 22, 2013	Apr 28, 2014	no	WESTLAKE, OH	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Nov 2, 2012	Feb 21, 2013	no	N. CANTON, OH	Previous registration
EDWARD JONES	National bd RIA	Jul 9, 2012	Aug 13, 2012	no	ST LOUIS, MO\|WADSWORTH, OH	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
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	PRELUDE FINANCIAL	Oct 28, 2015	Feb 8, 2016	103	Firm change	Other
STOREY & ASSOCIATES	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Jun 1, 2015	Sep 15, 2015	106	Firm change	Other
SCOTT SNOW (FINANCIAL ADVISORS) LLC	STOREY & ASSOCIATES	Apr 28, 2014	Jul 21, 2014	84	Firm change	Other
PNC WEALTH MANAGEMENT	SCOTT SNOW (FINANCIAL ADVISORS) LLC	Feb 21, 2013	Feb 22, 2013	1	Firm change	Other
EDWARD JONES	PNC WEALTH MANAGEMENT	Aug 13, 2012	Nov 2, 2012	81	Firm change	Other

Relationships

Registered with (6)

→ PRELUDE FINANCIALRegistered adviserregistration: current employment
Feb 8, 2016 to presentfactForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Sep 15, 2015 to Oct 28, 2015factForm ADV
→ STOREY & ASSOCIATESRegistered adviserregistration: previous registration
Jul 21, 2014 to Jun 1, 2015factForm ADV
→ SCOTT SNOW (FINANCIAL ADVISORS) LLCRegistered adviserregistration: previous registration
Feb 22, 2013 to Apr 28, 2014factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Nov 2, 2012 to Feb 21, 2013factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Jul 9, 2012 to Aug 13, 2012factForm ADV

Dated events

No dated event names this entity yet.