Our People | Principals Scott Rhodes Advising clients about portfolios and investments involves a full set of analytical skills that Scott provides as a Chartered Financial Analyst (CFA). He is a principal of the firm and a key member of our investment committee and planning team, advising clients directly about their overall financial needs. Scott received his bachelors of business administration in finance with honors from Gonzaga University in 1984 and earned his Chartered Financial Analyst designation in 1998. He joined our firm in 1999 after working for the National Association of Securities Dealers for ten years as a securities brokerage examiner. During his tenure at the NASD he routinely inspected stock brokerage firms to ensure their compliance with federal regulations and the NASD's ethical standards. The bulk of his responsibilities involved the review of client securities transactions and brokerage operations. He also conducted investigations of customer complaints and incidences surrounding stockbrokers' terminations. Prior to Scott's work at the NASD, he was a manager of a consulting firm specializing in securities fraud litigation. In this capacity, he provided counsel to attorneys and stock brokerage firms regarding settlement structuring and damage calculations, appearing before arbitration panels as an expert witness. He still occasionally provides expert witness testimony in connecting with investment disputes and has served as an arbitrator for the Financial Industry Regulatory Association. His professional memberships and associations include the CFA Institute and the CFA Society of Seattle. Scott enjoys the often scenic ferry commute to and from Port Orchard where he and his wife, Tanya, raise their two sons. © Copyright 2012 - Frederic T. Kutscher Associates, Inc. All Rights Reserved. | Disclaimer