AM
Arthur S. Montgomery
CETERA INVESTMENT ADVISERS LLC
ST LOUIS, MO 63131
Some features on this profile are disabled
CRD#: 2044949
AM
Professional summary
Arthur Scott Montgomery, who also goes by Arthur Scot Montgomery, Scoot Montgomery, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in St Louis, Missouri and CETERA WEALTH SERVICES, LLC located in St Louis, Missouri.
Arthur is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Arthur has worked at 6 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Arthur Scot Montgomery | Scoot Montgomery
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.INDEPENDENT INSURANCE AGENT -FIXED ANNUITIES, LIFE/ACCIDENT/HEALTH, LONG-TERM CARE FOR 1HR/WK SINCE 1992 2.PRESIDENT AND AN INVESTMENT ADVISER,PARAMOUNT FINANCIAL LLC, BEGAN 03/2001, 15HRS/WKDY,2HRS/WKEND 3.AUTHOR WRITER OF BOOK TITLED "SO YOU WANT TO RETIRE",BEGAN 12/2009,5HRS/WKDY,5HRS/WKEND 4. NAME OF OTHER BUSINESS: PARAMOUNT AGENCY ASSOCIATES, INC. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INSURANCE GENERAL AGENCY START DATE: 4/2016 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: OWNER & PRESIDENT BRIEF DESCRIPTION OF DUTIES: GENERAL OVERSIGHT AND FINANCIAL GUARANTEE; 5. NAME OF OTHER BUSINESS: ST. LOUIS AUDUBON SOCIETY; INVESTMENT RELATED: NO; ADDRESS: 12793 PARKWAY ESTATES DR, ST. LOUIS, MO 63146; NATURE OF BUSINESS: NON-PROFIT; START DATE: 05/2022; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: PROVIDE ADVICE, EXPERTISE, & ASSISTANCE IN DEVELOPING, IMPLEMENTING, & LEADING ORGANIZATIONAL VISION & STRATEGIES; 6. NAME OF OTHER BUSINESS: JAMES L. HARDING AND ASSOCIATES, INC. ; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: INSURANCE AGENCY; START DATE: 04/2023; POSITION/TITLE/RELATIONSHIP: OWNER/PRESIDENT; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: DBA FOR INSURANCE GENERAL AGENCY;
CRS (Client Relationship Summary) - RIA
Click below to view Arthur Scott Montgomery'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
Office #1: 11600 Manchester Rd Ste 100, St Louis, MO 63131RIA
CRD#: 105644
ST LOUIS, MO
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 11600 Manchester Rd Ste 100, St Louis, MO 63131BD
CRD#: 13572
St Louis, MO
Past
March 29, 2016 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
November 6, 2009 - May 14, 2025
PARAMOUNT FINANCIAL LLC
RIA
CRD#: 113500
ST. LOUIS, MO
Past
April 17, 2009 - April 28, 2009
PARAMOUNT FINANCIAL LLC
RIA
CRD#: 113500
ST. LOUIS, MO
Past
March 15, 2007 - September 5, 2013
WALNUT STREET SECURITIES, INC.
RIA
CRD#: 15840
ST LOUIS, MO
Past
July 7, 2003 - December 31, 2008
PARAMOUNT FINANCIAL LLC
RIA
CRD#: 113500
ST. LOUIS, MO
Past
February 24, 1992 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
ST LOUIS, MO
Past
June 1, 1990 - November 29, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
March 20, 1990 - May 11, 1990
BLINDER, ROBINSON & CO., INC.
BD
CRD#: 5096
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(9/3/2013)
RR
Arizona(9/3/2013)
RR
Arkansas(9/3/2013)
RR
California(9/3/2013)
RR
Colorado(9/3/2013)
RR
Connecticut(9/3/2013)
RR
Florida(9/3/2013)
RR
Georgia(9/3/2013)
RR
Illinois(9/3/2013)
RR
Indiana(9/3/2013)
RR
Kansas(9/3/2013)
RR
Kentucky(3/13/2025)
RR
Louisiana(9/3/2013)
RR
Maine(9/3/2013)
RR
Maryland(8/4/2025)
RR
Massachusetts(2/26/2016)
RR
Minnesota(9/3/2013)
RR
Mississippi(9/3/2013)
RR
Missouri(9/3/2013)
IAR
Missouri(6/29/2023)
RR
Nevada(9/3/2013)
RR
New Hampshire(9/3/2013)
RR
New Jersey(9/3/2013)
RR
New York(9/3/2013)
RR
North Dakota(9/3/2013)
RR
Ohio(9/3/2013)
RR
Oklahoma(9/3/2013)
RR
Oregon(3/22/2022)
RR
Pennsylvania(9/3/2013)
RR
Tennessee(9/3/2013)
IAR
Tennessee(8/7/2025)
RR
Texas(9/3/2013)
IAR
Texas(6/29/2023)
RR
Virginia(9/3/2013)
RR
Wisconsin(9/3/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644St Louis, MO 63131TRUST BUT VERIFY
Monitor Arthur Montgomery
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
