SE
Scott Engell
CETERA INVESTMENT ADVISERS LLC
Johns Island, SC
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CRD#: 1432022
SE
Professional summary
Scott Engell is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Johns Island, South Carolina and CETERA WEALTH SERVICES, LLC located in Johns Island, South Carolina.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Scott has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 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.
NAME OF ENTITY:Engell Insurance Brokerage Inc; Yes; 3410 OLIVIA MARIE LN; JOHNS ISLAND; SC; 29455; DBA; Owner; 7/1/1993; 160; 160; DBA for insurance products|NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 3410 Olivia Marie Lane; Johns Island; SC; 29455; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 11/4/1999; 160; 160; SALES OF FIXED INSURANCE PRODUCTS|NAME OF ENTITY:Alpha Omega Insurance Academy; Yes; 3410 Olivia Marie Lane; Johns Island; SC; 29455; insurance licensing classes; Owner; 1/1/2001; 2; 2; On line CE|
CRS (Client Relationship Summary) - RIA
Click below to view Scott Engell's 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®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
Johns Island, SC
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Johns Island, SC
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
June 1, 2004 - June 11, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
Johns Island, SC
Past
January 1, 2004 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
Johns Island, SC
Past
November 4, 1999 - January 1, 2004
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Past
December 12, 1991 - October 7, 1999
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
July 2, 1990 - April 26, 1995
CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.
BD
CRD#: 24220
GREENWOOD VILLAGE, CO
Past
March 31, 1989 - December 2, 1991
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
July 19, 1988 - March 31, 1989
LOWRY FINANCIAL SERVICES CORPORATION
BD
CRD#: 7291
NORTH PALM BEACH, FL
Past
February 7, 1986 - July 28, 1988
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.RR
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
RR
Alabama(6/9/2021)
RR
Arizona(6/9/2021)
RR
California(6/9/2021)
RR
Colorado(6/9/2021)
RR
District of Columbia(6/9/2021)
RR
Florida(6/10/2021)
RR
Georgia(6/9/2021)
RR
Idaho(6/30/2023)
RR
Illinois(6/9/2021)
RR
Indiana(6/9/2021)
RR
Iowa(6/9/2021)
RR
Kentucky(6/9/2021)
RR
Maryland(6/9/2021)
RR
Massachusetts(6/9/2021)
RR
Michigan(6/9/2021)
RR
Missouri(5/18/2023)
RR
Montana(6/9/2021)
RR
Nebraska(5/7/2024)
RR
New Jersey(6/9/2021)
RR
New York(6/9/2021)
RR
North Carolina(6/9/2021)
RR
Ohio(6/9/2021)
RR
Oklahoma(6/9/2021)
RR
Pennsylvania(6/9/2021)
RR
South Carolina(6/9/2021)
IAR
South Carolina(6/29/2023)
RR
Tennessee(6/15/2021)
RR
Texas(6/9/2021)
IAR
Texas(6/29/2023)
RR
Utah(6/9/2021)
RR
Virginia(11/8/2021)
RR
Washington(6/9/2021)
RR
West Virginia(6/9/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
