ST
Scott F. Thompson
CETERA INVESTMENT ADVISERS LLC
OAKMONT, PA
Some features on this profile are disabled
CRD#: 2103751
ST
Professional summary
Scott Francis Thompson is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Oakmont, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Oakmont, Pennsylvania.
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 6 firms and has passed the 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)INDEPENDENT INSURANCE AGENT DISABILITY, FIXED ANNUITIES, LIFE/ACCIDENT/HEALTH, LTC, MEDICARE RELATED PRODUCTS THROUGH DINNIN & PARKINS ASSOCIATED INC(300 ALLEGHENY RIVER BLVD. OAKMONT, PA 15139) BEGAN 05/2011 30HRS/WKDY, 2HRS/WKEND 2)ENTERTAINMENT HELPER SIDE-BY-SIDE ENTERTAINMENT HELP WITH THE PERFORMANCE DUITES OF THE ENTERTAINMENT COMPANY BOOKED FOR WEDDINGS, PARTIES, ETC. IN CRANBERRY TWP., PA FOR 8 TRADING AND 3 NON TRADING HOURS SINCE 5/2003
3. NAME OF OTHER BUSINESS: DBA KEYSTONE INSURANCE
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: OUTSIDE INSURANCE ASSOCIATION
START DATE: 1/2013
POSITION/TITLE/RELATIONSHIP: MEMBER
APX NUMBER OF HOURS PER WEEK: VARIES
SOME DURING TRADING HOURS
4. NAME OF OTHER BUSINESS: JOHN GRAFF INSURANCE
INVESTMENT RELATED: YES
ADDRESS: 213 MARKET ST, KITTANNING, PA 16201
NATURE OF BUSINESS: FIXED INSURANCE
START DATE: 2/2017
POSITION/TITLE/RELATIONSHIP: AGENT
APX NUMBER OF HOURS PER WEEK: 15
APX NUMBER OF HOURS DURING TRADING HOURS: 15
BRIEF DESCRIPTION OF DUTIES: PROPERTY & CASUALTY INSURANCE SALES
5. NAME OF OTHER BUSINESS: NEWTON LEHMAN AGENCY
INVESTMENT RELATED: YES
ADDRESS: 3808 MCKNIGHT EAST DR., PITTSBURGH, PA 16152
NATURE OF BUSINESS: FIXED INSURANCE
START DATE: 2/2017
POSITION/TITLE/RELATIONSHIP: AGENT
APX NUMBER OF HOURS PER WEEK: 15
APX NUMBER OF HOURS DURING TRADING HOURS: 15
BRIEF DESCRIPTION OF DUTIES: PROPERTY & CASUALTY INSURANCE SALES
6. NAME OF OTHER BUSINESS: N/A
INVESTMENT RELATED: NO
ADDRESS: SAME AS RESIDENTIAL ADDRESS
NATURE OF BUSINESS: MOTIVATIONAL SPEAKING
START DATE: 7/2017
POSITION/TITLE/RELATIONSHIP: SPEAKER
APX NUMBER OF HOURS PER WEEK: VARIES
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES
BRIEF DESCRIPTION OF DUTIES: PRESENTATION AT MOTIVATIONAL SPEAKING ENGAGEMENTS.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Francis Thompson'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 #2: 213 Market St, Kittanning, PA 16201RIA
CRD#: 105644
OAKMONT, PA
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 300 Allegheny River Blvd, Oakmont, PA 15139Office #2: 213 Market St, Kittanning, PA 16201Office #3: 3808 Mcknight E Dr, Pittsburgh, PA 15237BD
CRD#: 13572
Oakmont, PA
Past
September 3, 2013 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
December 22, 2008 - September 3, 2013
TOWER SQUARE SECURITIES, INC.
RIA
CRD#: 833
OAKMONT, PA
Past
December 19, 2008 - September 3, 2013
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
OAKMONT, PA
Past
March 14, 2008 - September 3, 2008
COUNTRYWIDE INVESTMENT SERVICES, INC.
RIA
CRD#: 103919
PITTSBURGH, PA
Past
January 23, 2007 - September 3, 2008
COUNTRYWIDE INVESTMENT SERVICES, INC.
BD
CRD#: 103919
PITTSBURGH, PA
Past
November 12, 1990 - January 19, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
WEST PALM BEACH, FL
Past
November 12, 1990 - January 19, 2007
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
WEST PALM BEACH, FL
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
Florida(9/3/2013)
RR
Maryland(9/3/2013)
RR
Ohio(9/3/2013)
RR
Pennsylvania(9/3/2013)
IAR
Pennsylvania(6/29/2023)
Exams
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
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.
