Christopher S. Scott

CETERA INVESTMENT ADVISERS LLC

COLORADO SPRINGS, CO 80918

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CRD#: 1019176

Professional summary

Christopher Stephen Scott, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Colorado Springs, Colorado and CETERA WEALTH SERVICES, LLC located in Colorado Springs, Colorado.

Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Christopher has worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 22 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1)INDEPENDENT REP WITH VARIOUS INSURANCE CARRIERS FOR FIXED ONLY. 2)ASCENT FINANCIAL STRATEGIES LLC; DBA; MEMBER/MANAGER. 3) CSCOTT FINANCIAL INC-DBA ONLY; PRESIDENT.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Stephen Scott's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1997

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 2150 Hollow Brook Drive Ste 210, Colorado Springs, CO 80918

RIA

CRD#: 105644

COLORADO SPRINGS, CO

Current

November 1, 2017 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2150 Hollow Brook Drive Ste 210, Colorado Springs, CO 80918

CRD#: 13572

Colorado Springs, CO

Past

September 7, 2017 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

Colorado Springs, CO

Past

July 16, 2015 - November 1, 2017

GIRARD SECURITIES, INC.

RIA

CRD#: 18697

Colorado Springs, CO

Past

June 12, 2015 - November 1, 2017

CRD#: 120894

COLORADO SPRINGS, CO

Past

January 1, 1999 - April 24, 2008

OSAIC WEALTH, INC.

RIA

CRD#: 23131

COLORADO SPRINGS, CO

Past

January 1, 1999 - December 31, 2009

CSCOTT FINANCIAL, INC.

RIA

CRD#: 114704

COLORADO SPRINGS, CO

Past

December 17, 1990 - April 24, 2008

OSAIC WEALTH, INC.

CRD#: 23131

COLORADO SPRINGS, CO

Past

January 4, 1988 - December 20, 1990

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

November 5, 1982 - January 7, 1988

THE GEORGETOWN GROUP, INC.

CRD#: 10710

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(11/1/2017)

California
(11/1/2017)

Colorado
(11/1/2017)

IAR

Colorado
(6/29/2023)

Florida
(1/15/2020)

Massachusetts
(1/29/2025)

Montana
(11/1/2017)

Nebraska
(11/1/2017)

Ohio
(1/14/2020)

Texas
(11/1/2017)

IAR

Texas
(6/29/2023)

Wisconsin
(11/1/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Christopher S. Scott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Stephen Scott's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

GIRARD SECURITIES, INC.

GIRARD SECURITIES, INC.

CSCOTT FINANCIAL, INC.

CSCOTT FINANCIAL, INC.

FINANCIAL DESIGN & MANAGEMENT, INC.

GENEOS WEALTH MANAGEMENT, INC.

GENEOS WEALTH MANAGEMENT, INC.

OSAIC WEALTH, INC.

CSCOTT FINANCIAL, INC.

OSAIC WEALTH, INC.

FSC SECURITIES CORPORATION

THE GEORGETOWN GROUP, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/29/1985

SIE

Date: 10/1/2018

Series 7

Date: 3/18/1989

Series 6

Date: 4/27/1983

Series 22

Date: 10/29/1982

Series 26

Date: 10/5/1987

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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