SG
Scott E. Grooms
CWM
Mill Valley, CA
Some features on this profile are disabled
CRD#: 1948212
SG
Professional summary
Scott E Grooms, CFP® is a registered financial advisor currently at CWM, LLC located in Mill Valley, California and CETERA INVESTMENT ADVISERS LLC located in Mill Valley, California.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Scott has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 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. NAME OF OTHER BUSINESS: CWM, DBA CARSON PARTNERS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM THAT PROVIDES PORTFOLIO MANAGEMENT, FINANCIAL PLANNING, ESTATE PLANNING AND ADDITIONAL ADVISORY SERVICES POSITION/TITLE/RELATIONSHIP: MANAGING PARTNER, SENIOR WEALTH ADVISOR, CFP (R) START DATE: 12/2020 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32 BRIEF DESCRIPTION OF DUTIES: I WILL BE PROVIDING FINANCIAL PLANNING, INVESTMENT MANAGEMENT, AND ADVISORY SERVICES. 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 3/2001 APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 5 POSITION/TITLE/RELATIONSHIP: SENIOR WEALTH ADVISOR, CFP(R) BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, AND LONG-TERM CARE 3. NAME OF OTHER BUSINESS: GWM, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED ADDRESS NATURE OF BUSINESS: USE DBA TO RUN GENERAL BUSINESS OPERATIONS START DATE: 2/2004 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: USE DBA TO RUN GENERAL BUSINESS OPERATIONS 4. NAME OF OTHER BUSINESS: TGDIAVGW, INC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED ADDRESS NATURE OF BUSINESS: OWN & OPERATE DBA GWM, LLC START DATE: 11/2020 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 35 APX NUMBER OF HOURS DURING TRADING HOURS: 30 BRIEF DESCRIPTION OF DUTIES: OWN & OPERATE DBA GWM, LLC 5. NAME OF OTHER BUSINESS: RENTAL PROPERTY INVESTMENT RELATED: NO ADDRESS: STINSON BEACH, CA NATURE OF BUSINESS: RENTAL HOME START DATE: 11/2020 POSITION/TITLE/RELATIONSHIP: HOMEOWNER APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: I RENT OUT A HOME AND AM RESPONSIBLE FOR UPKEEP, MAINTENANCE, ETC; 6. NAME OF OTHER BUSINESS: GROOMS WEALTH MANAGEMENT, INC. (GWM, INC.) INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: EXPENSE MANAGEMENT; START DATE: 12/2020; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: FOR PERSONAL AND BUSINESS ASSETS FOR OPERATIONAL & TAX PURPOSES; 7. NAME OF OTHER BUSINESS: TOTAL GLOBAL LOGISTICAL SOLUTIONS, INC.; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: LOGISTICS MANAGEMENT COMPANY FOR PERSONAL & FAMILY OFFICE BUSINESS ASSETS; START: 7/2023; TITLE: OWNER; APX # OF HRS/WK & DUR TRD HRS: 5; DUTIES: SECURE RENTAL & LEASE TERMS & LOGISTICS AS WELL AS SOURCING/MANAGING MAINTENANCE SUBCONTRACTORS FOR OUR RENTAL REAL ESTATE INVESTMENTS;
CRS (Client Relationship Summary) - RIA
Click below to view Scott E Grooms'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
December 18, 2020 - Present
CWM, LLC
Office #2: 250 Camino Alto Suite 200, Mill Valley, CA 94941RIA
CRD#: 155344
Mill Valley, CA
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 250 Camino Alto, Suite 200, Mill Valley, CA 94941RIA
CRD#: 105644
MILL VALLEY, CA
Current
December 17, 2020 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 250 Camino Alto, Suite 200, Mill Valley, CA 94941BD
CRD#: 13572
Mill Valley, CA
Past
December 18, 2020 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
MILL VALLEY, CA
Past
October 27, 2016 - March 10, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
MILL VALLEY, CA
Past
July 7, 2016 - January 4, 2021
MARINER ADVISOR NETWORK
RIA
CRD#: 283824
Mill Valley, CA
Past
March 3, 2016 - July 7, 2016
STRATEGIC WEALTH ADVISORS GROUP
RIA
CRD#: 140977
Mill Valley, CA
Past
March 3, 2004 - December 21, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
MILL VALLEY, CA
Past
February 27, 2004 - September 8, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
MILL VALLEY, CA
Past
September 2, 2003 - December 1, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
MILL VALLEY, CA
Past
September 2, 2003 - December 1, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
March 30, 1998 - September 12, 2003
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
SAN FRANCISCO, CA
Past
March 23, 1998 - September 12, 2003
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
March 22, 1993 - April 8, 1998
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
January 31, 1990 - March 2, 1993
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
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
Alaska(1/6/2021)
RR
Arizona(1/4/2021)
RR
California(12/18/2020)
IAR
California(12/18/2020)
RR
Colorado(3/19/2021)
RR
Connecticut(12/21/2020)
RR
Florida(12/18/2020)
RR
Georgia(12/18/2020)
RR
Hawaii(12/18/2020)
RR
Illinois(12/18/2020)
RR
Indiana(1/4/2021)
RR
Kansas(12/23/2020)
RR
Maryland(12/17/2020)
RR
Michigan(12/22/2020)
RR
Montana(2/10/2022)
RR
Nevada(12/22/2020)
RR
New Hampshire(3/23/2021)
RR
New York(12/19/2020)
RR
Ohio(12/23/2020)
RR
Oklahoma(12/21/2020)
RR
Oregon(12/22/2020)
RR
South Carolina(12/18/2020)
RR
Texas(12/17/2020)
IAR
Texas(6/29/2023)
RR
Utah(5/1/2025)
IAR
Utah(6/27/2025)
RR
Vermont(12/21/2020)
RR
Virginia(12/17/2020)
RR
Washington(1/29/2021)
RR
Wisconsin(3/11/2021)
RR
Wyoming(12/18/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 2/2/1993
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
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.
