Scott Holstein

221 West Street Road
Feasterville, Pennsylvania, 19053
Phone: 800.458.9330
Website: www.scottholstein.com
Credentials: CFP®, CPA, PFS
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Business Philosophy

Our role is to help our clients lead more financially secure lives. We provide personalized financial services and tailored recommendations that act as a road map to achieve your financial goals. We are independent and have an open architecture which means we are not limited in our use of vendors for solutions or obligated to use proprietary products. Your interests always come first. Our philosophy is to educate and empower our clients, maintaining a high level of commitment to service, knowledge, disclosure and integrity. Our biggest impact may be the peace of mind that comes with a continuously monitored comprehensive financial program. Call us for a copy of our Client Bill of Rights.

My Minimum Asset Requirements: $1,000,000

Types of Clients:
  • Individuals
  • Companies (Non-Pension)
  • Companies (Pension)
Types of Services:
  • Financial Planning Advice & Services
  • Investment Advice & Services
  • Insurance Advice & Services
Assets Under Management:
  • Did Not Provide
Number of Clients:
  • Did Not Provide
1. What are your firm names?
  • Registered Investment Advisor

    Walnut Street Securities

  • Broker Dealer

    Walnut Street Securities

2. What is your type of RIA registration?
  • SEC
3. Are you a sole practitioner or a member of a firm or team?
  • Sole Practitioner
4. What is your relationship to your Registered Investment Advisor?
  • Independent Contractor
5. What are your years of applicable financial service experience?
  • 25 Years
6. Do you have any college degree(s)?
School
Degree
Major
Penn State University
BS Accounting
7. Do you belong to any industry associations?
  • AICPA
  • FINRA
  • PSPA
8. What is your CRD or IARD number?
  • 1725281
9. Do you hold any active securities licenses?
  • 65, 63, 7, 24
10. Which categories of financial services do you provide?
  • Financial Planning Advice & Services
  • Investment Advice & Services
  • Insurance Advice & Services
11. Which planning services do you provide?
  • Financial Plans
  • Retirement Plans
  • College Plans
  • Estate Plans
  • Tax Plans
  • Charitable Plans
  • Other
12. Which investment advisory services do you provide?
  • Investment Strategy & Policy
  • Risk Management
  • Rebalancing
  • Money Manager Selection
  • Performance Reports
  • Asset Allocation
13. If you make investment decisions for clients, how do you invest their assets?
  • Did Not Provide
14. How many clients (not accounts) do you currently service?
  • Did Not Provide
15. What amount of client assets is currently under your management or advisement?
  • Did Not Provide
16. What is minimum fee for your planning services?
  • Did Not Provide
17. What is your minimum asset requirement for your investment services?
  • $1,000,000
18. What is your minimum net worth requirement for your planning services?
  • Did Not Provide
19. What type of compensation do you receive for your planning services?
  • Asset Based Fees, Fixed Fees
20. What type of compensation do you receive for your investment advisory services?
  • Asset Based Fees, Fixed Fees
21. Do you work with remote clients over the Internet and telephone?
  • Yes
22. Do you hold any active insurance licenses?
  • Life, Annuity, Long-Term Care, Disability, Health, Other
23. Are you a Registered Investment Advisor or an Investment Advisor Representative?
  • Yes
24. Do you acknowledge you are a fiduciary when you provide financial advice and services for fees?
  • Yes
25. What states are covered by your registration(s) to sell investment advisory services?
  • California
  • Colorado
  • Connecticut
  • Florida
  • New Jersey
  • New York
  • Pennsylvania
  • Tennessee
  • WDC
  • Delaware
  • Illinois
  • Maryland
  • Massachusetts
  • North Carolina
  • Oregon
  • Texas
  • Virginia
26. What states are covered by your registration(s) to sell investment and brokerage products?
  • Did Not Provide
27. What states are covered by your registration(s) to sell insurance products?
  • Did Not Provide
28. Do you have any compliance disclosures for the past 5 years?
  • Investment Disclosures: No
  • Insurance Disclosures: No
29. Do you have any criminal disclosures since you became an adult?
  • Misdemeanors: No
  • Felonies: No
30. How do investors view your ADV Part II?

Available Upon Request

31. Additional Disclosure Statements or Comments
  • Securities and investment advisory services offered through Walnut Street Securities, Inc. (Member FINRA/SIPC), a registered investment advisor. Financial Planning and investment advisory services offered through PFG a registered investment advisor. PFG and WSS are unaffiliated.
32. What languages do you speak fluently?
  • Did Not Provide
33. What is your primary role?
  • Did Not Provide
34. Which investment products do you sell?
  • Mutual Funds
  • REITs
  • Other
35. Which insurance products do you sell?
  • Life
  • Fixed Annuities
  • Variable Annuities
  • Long Term Care
  • Disability Income
  • Health
36. Do you provide tax advice and services?
  • No
37. Do you provide legal advice and services?
  • Did Not Provide
38. Do you provide any limited engagement services?
  • Did Not Provide
39. What types of clients do you work with?
  • Individuals
  • Companies (Non-Pension)
  • Companies (Pension)
40. Where does your first meeting with a prospective client take place?
  • Did Not Provide
41. Which companies act as custodians for your clients assets?
  • Pershing
  • SEI
  • Genworth
42. What types of reports do you provide your clients and what is the frequency?
43. General Comments:

Did Not Provide

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Certification

I certify all of the information in my professional profile is accurate and up-to-date.
Advisor Name: Scott Holstein
Most Recent Update: May/ 8/2013