Scott F. Sommers

FIRST FINANCIAL CONSULTING

Pasadena, CA 91101

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CRD#: 2012379

Professional summary

Scott Fredrick Sommers, ChFC®, CLU® is a registered financial advisor currently at FIRST FINANCIAL CONSULTING located in Pasadena, California.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Scott has worked at 3 firms and has passed the Series 63 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Fredrick Sommers'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®

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

February 6, 2003 - Present

FIRST FINANCIAL CONSULTING

Office #1: 517 South Lake Avenue, Pasadena, CA 91101

RIA

CRD#: 107456

Pasadena, CA

Past

June 24, 1999 - January 16, 2000

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

LINCOLN, NE

Past

April 3, 1990 - November 13, 1998

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

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.

Highlighted states indicate IAR registrations

IAR

California
(2/6/2003)

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.

Exams

State Security Law Exam

Series 63

Date: 4/1/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 3/6/1990

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FIRST FINANCIAL CONSULTING

FINANCIAL RESOURCES CONSULTING GROUP | FIRST FINANCIAL CONSULTING

CRD#: 107456 / SEC#: 801-51848

RIA

Registered Investment Advisory firm - (8/20/2003 Terminated)

California

Registered Investment Advisory firm - (7/2/2003 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

517 South Lake Avenue, Pasadena, CA 91101

Mailing Address

Phone number

(626) 844-4630

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	1,918
AUM (Assets Under Management)	$ 636,702,974

Red Flags

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

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Scott F. Sommers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Fredrick Sommers's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST FINANCIAL CONSULTING

ALLSTATE FINANCIAL SERVICES, LLC

NYLIFE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/1/1991

Series 6

Date: 3/6/1990

Current Firm

FIRST FINANCIAL CONSULTING

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FIRST FINANCIAL CONSULTING

TRUST BUT VERIFY

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