Advisor Blog

FEATURED IMAGE RESIZE.jpg
  • 2018 FinTech Finalists.png
  • Creating a Business Plan
  • Finding Success in Year One of Your RIA
  • Choosing the Right Fee Structure

Scott Gill

Scott is experienced in both RIA and broker-dealer compliance. He began his financial services career in 2006 as a Registered Representative with E*Trade Financial in Alpharetta, GA. He has also worked with J.P. Morgan Private Banking in Chicago, IL and with Wells Fargo Advisors in Chapel Hill, NC. Scott’s most recent role before joining Team XYPN was as Compliance Officer of Carolinas Investment Consulting, in Charlotte NC. He’s a graduate of The University of North Carolina at Chapel Hill and formerly held FINRA Series 63, 65, 24, 4 and 53 Licenses. Scott lives in Charlotte NC with his wife Meredith, and their two Sons Tyson and Jackson. In his free time, Scott enjoys watching sports, exercising, and operating the charitable organization he created upon his father’s passing.

Recent Posts

4 Compliance Considerations for Financial Advisors Who Offer Online Courses

4 Compliance Considerations for Financial Advisors Who Offer Online Courses

5.5 MIN READ 

Financial advisors...

June 28, 2018/by Scott Gill
How to Play

How to Play "Catch-Up" (the Right Way) on Past-Due Compliance Tasks

5 MIN READ 

As a firm owner...

May 31, 2018/by Scott Gill
Adjusting Your Compliance Program for a TAMP

Adjusting Your Compliance Program for a TAMP

 

*Estimated Read Time: 3 1/2 minutes

March 08, 2018/by Scott Gill
Compliance Considerations for Cryptocurrency

Compliance Considerations for Cryptocurrency

*Estimated Read Time: 4 1/2 minutes

...

February 08, 2018/by Scott Gill
Annual ADV Update: Recent Changes to Note

Annual ADV Update: Recent Changes to Note

 

It’s that time of year again! It’s...

December 14, 2017/by Scott Gill
Addressing The Increased Regulatory Focus On Cybersecurity

Addressing The Increased Regulatory Focus On Cybersecurity

 

October 30, 2017/by Scott Gill
Compliance 101: Your First Year as Chief Compliance Officer

Compliance 101: Your First Year as Chief Compliance Officer

 

September 18, 2017/by Scott Gill
Choosing a Compliance Consultant? Read This First!

Choosing a Compliance Consultant? Read This First!

August 07, 2017/by Scott Gill
Making Changes to your Compliance Program for the DOL Ruling

Making Changes to your Compliance Program for the DOL Ruling

The Department of Labor (DOL) has...

June 26, 2017/by Scott Gill
Compliance Regulations When Relocating Your RIA to Another State

Compliance Regulations When Relocating Your RIA to Another State

It can be difficult navigating the...

May 15, 2017/by Scott Gill
Top 5 Characteristics of an Effective Compliance Officer

Top 5 Characteristics of an Effective Compliance Officer

 

April 03, 2017/by Scott Gill
Considerations for Discretionary vs. Non-Discretionary Investment Management

Considerations for Discretionary vs. Non-Discretionary Investment Management

What is Discretion?

March 01, 2017/by Scott Gill
Transition: Leaving Your Position with an Existing Firm to Start Your Own Fee-Only Firm

Transition: Leaving Your Position with an Existing Firm to Start Your Own Fee-Only Firm

 

February 09, 2017/by Scott Gill
Communicating with your Clients About Compliance

Communicating with your Clients About Compliance

 

January 12, 2017/by Scott Gill
Calculating Your Assets Under Management

Calculating Your Assets Under Management

 

December 01, 2016/by Scott Gill
Handling Compliance Items that Inconvenience Your Clients

Handling Compliance Items that Inconvenience Your Clients

 

October 06, 2016/by Scott Gill
What an RIA Owner Should Know About Communicating with Regulators

What an RIA Owner Should Know About Communicating with Regulators

September 01, 2016/by Scott Gill
Understanding RIA Custody of Funds or Securities

Understanding RIA Custody of Funds or Securities

 

August 04, 2016/by Scott Gill
RIA Compliance: Updating Language in Your ADV Part 2

RIA Compliance: Updating Language in Your ADV Part 2

Inevitably, every firm will be faced...

July 07, 2016/by Scott Gill
How Financial Advisors Can Secure Client Information via Email

How Financial Advisors Can Secure Client Information via Email

June 02, 2016/by Scott Gill
What Advisors Need to Know about Solicitor Referral Arrangements

What Advisors Need to Know about Solicitor Referral Arrangements

May 05, 2016/by Scott Gill

Browse our Advisor Resources

Never miss an article! Subscribe to receive an email notification when a new blog is posted.