SM
Scott K. Morley
CETERA INVESTMENT ADVISERS LLC
LA VERNE, CA
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CRD#: 1932336
SM
Professional summary
Scott Kent Morley is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in La Verne, California and CETERA WEALTH SERVICES, LLC located in La Verne, California.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Scott has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 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. NAME OF ENTITY:Solutions Insurance and Financial Services; Yes; 5825 OLD WHEEL RD; LA VERNE; CA; 91750; Insurance Sales; Independent broker, sales; 4/2/2012; 48; 48; Independent broker. Sales 2. NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 5825 OLD WHEEL RD; LA VERNE; CA; 91750; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 4/2/2012; 160; 160; SALES OF FIXED INSURANCE PRODUCTS 3. NAME OF ENTITY:Team Referral Network; No; 5825 Old Wheeler Road; La Verne; CA; 91750; NETWORKING; Vice President; 10/1/2020; 12; 12; Take attendance of the meetings and record the referral activity. Record Keeping OF Meetings 4. NAME OF OTHER BUSINESS: CHINO HILLS BOURBON SOCIETY; INVESTMENT RELATED: NO; ADDRESS: 13089 PEYTON DR #C243. CHINO HILLS, CA 81709; NATURE OF BUSINESS: BOARD; START DATE: 1/2025; POSITION/TITLE/RELATIONSHIP: SECRETARY; APX NUMBER OF HOURS PER WEEK: 0.5; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ATTEND BOARD MEETINGS AND EVENTS;
CRS (Client Relationship Summary) - RIA
Click below to view Scott Kent Morley'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
LA VERNE, CA
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
LA VERNE, CA
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
June 16, 2017 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
LA VERNE, CA
Past
April 2, 2012 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
LA VERNE, CA
Past
October 21, 2005 - April 4, 2012
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
LA VERNE, CA
Past
April 22, 2002 - October 20, 2005
VERITRUST FINANCIAL, LLC
BD
CRD#: 106594
AUSTIN, TX
Past
March 10, 1997 - April 22, 2002
ARAGON FINANCIAL SERVICES, INC.
BD
CRD#: 16023
IRVINE, CA
Past
July 19, 1996 - February 28, 1997
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
October 27, 1989 - December 31, 1995
ARAGON FINANCIAL SERVICES, INC.
BD
CRD#: 16023
IRVINE, CA
Past
May 30, 1989 - August 29, 1989
FMS SECURITIES, INC.
BD
CRD#: 14356
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(6/9/2021)
RR
California(6/9/2021)
IAR
California(6/29/2023)
RR
Colorado(2/4/2022)
RR
Florida(1/3/2023)
RR
Hawaii(9/6/2024)
RR
Idaho(11/23/2021)
RR
Kentucky(8/10/2021)
RR
Nevada(6/9/2021)
RR
Oklahoma(10/30/2025)
RR
South Dakota(10/30/2025)
RR
Tennessee(10/30/2025)
RR
Texas(6/9/2021)
IAR
Texas(6/29/2023)
RR
Utah(6/9/2021)
RR
Washington(1/3/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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.
