Scott E. Holstein
VICUS CAPITAL
WARMINSTER, PA 18974
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CRD#: 1725281
Professional summary
Scott Eric Holstein, CFP® is a registered financial advisor currently at VICUS CAPITAL, INC. located in Warminster, Pennsylvania and CETERA INVESTMENT ADVISERS LLC located in Warminster, Pennsylvania.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Scott has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 8 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. SCOTT E. HOLSTEIN,
NOT INVESTMENT RELATED,
SAME AS REGISTERED ADDRESS,
CPA/TAX PROFESSIONAL,
START 12/01/1997,
0HRS/WK (NON-TRADING HOURS),
NON-PRACTICING CPA;
2. VICUS CAPITAL, INC.,
INVESTMENT RELATED,
SAME AS REGISTERED ADDRESS,
OUTSIDE RIA - ADVISORY BUSINESS,
START 11/2011,
6HRS/WK (5 TRADING HOURS),
INVESTMENT ADVISOR REPRESENTATIVE;
3. PRUDENT WEALTH MANAGEMENT, INC.,
INVESTMENT RELATED,
SAME AS REGISTERED ADDRESS,
DBA NAME FOR SECURITIES/ADVISORY/INSURANCE BUSINESS,
START 2001,
40HRS/WK (32.5 TRADING HOURS),
REGISTERED REPRESENTATIVE, INVESTMENT ADVISOR REPRESENTATIVE, INSURANCE AGENT;
4.NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
START DATE: 5/2017
NATURE OF BUSINESS: FIXED INSURANCE
APX # OF HOURS PER WEEK: 40
APX # OF HOURS DURING TRADING HOURS: 32.5
POSITION/TITLE/RELATIONSHIP: AGENT
DUTIES: GENERAL DUTIES: SELLING INDEXED ANNUITIES
5.NAME OF OTHER BUSINESS: AMERICAN BROKERAGE SERVICE
INVESTMENT RELATED: YES
ADDRESS: 803 E. WILLOW GROVE AVE STE 2B WYNDMOOR PA 19038
START DATE: 5/2017
NATURE OF BUSINESS: INDEXED ANNUITIES
APX # OF HOURS PER WEEK: 8
APX # OF HOURS DURING TRADING HOURS: 8
POSITION/TITLE/RELATIONSHIP: AGENT
DUTIES: GENERAL DUTIES: DBA FOR INDEXED ANNUITIES
CRS (Client Relationship Summary) - RIA
Click below to view Scott Eric Holstein'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®
CFP®
Start date: 2006
Experience
Current
November 10, 2011 - Present
VICUS CAPITAL, INC.
Office #1: 301 York Road Suite 200, Warminster, PA 18974RIA
CRD#: 116021
WARMINSTER, PA
Current
June 19, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 301 York Rd Ste 200, Warminster, PA 18974RIA
CRD#: 105644
WARMINSTER, PA
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 301 York Rd Ste 200, Warminster, PA 18974BD
CRD#: 13572
Warminster, PA
Past
September 3, 2013 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
July 23, 2007 - September 3, 2013
WALNUT STREET SECURITIES, INC.
RIA
CRD#: 15840
FEASTERVILLE, PA
Past
August 1, 2003 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
FEASTERVILLE, PA
Past
October 15, 2001 - January 24, 2003
NATHAN & LEWIS SECURITIES, INC.
RIA
CRD#: 8503
FEASTERVILLE, PA
Past
October 15, 2001 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
October 9, 1991 - October 25, 2001
JOSEPHTHAL & CO., INC.
BD
CRD#: 3227
NEW YORK, NY
Past
January 22, 1990 - October 22, 1991
JJC SECURITIES CO., INC.
BD
CRD#: 3144
Past
January 2, 1990 - January 29, 1990
HANIFEN, IMHOFF SECURITIES CORP.
BD
CRD#: 10620
Past
August 18, 1989 - January 2, 1990
MOORE & SCHLEY, CAMERON & CO.
BD
CRD#: 6917
Past
September 22, 1987 - August 19, 1989
GLEACHER & COMPANY SECURITIES, INC.
BD
CRD#: 298
NEW YORK, NY
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
Arizona(9/3/2013)
RR
California(9/3/2013)
RR
Connecticut(9/3/2013)
RR
Delaware(3/21/2014)
RR
Florida(9/3/2013)
IAR
Florida(2/16/2022)
RR
Maryland(9/3/2013)
RR
Massachusetts(1/4/2023)
RR
Michigan(1/4/2023)
RR
Nevada(4/13/2023)
RR
New Jersey(9/3/2013)
RR
New York(9/3/2013)
RR
Ohio(9/3/2013)
IAR
Pennsylvania(11/10/2011)
RR
Pennsylvania(9/3/2013)
RR
Rhode Island(1/3/2022)
RR
Texas(9/3/2013)
IAR
Texas(6/29/2023)
RR
Utah(2/27/2025)
RR
Washington(4/17/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 8/8/1997
General Securities Sales Supervisor Examination (Options Module & General Module)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
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Check for any disclosures as part of your thorough research when choosing an advisor.
