SS
Scott W. Slacum
CETERA INVESTMENT ADVISERS LLC
MANASSAS, VA 20110-4154
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CRD#: 2130295
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Professional summary
Scott William Slacum, who also goes by Scott W Slacum, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Manassas, Virginia and CETERA WEALTH SERVICES, LLC located in Baltimore, Maryland.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Scott has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Scott W Slacum
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.
NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 6100 BALTIMORE NATIONAL PIKE; BALTIMORE; MD; 21228; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 7/8/2004; 8; 8; SALES OF FIXED INSURANCE PRODUCTS NAME OF ENTITY:Rosenthal Wealth Management Group; Yes; 6100 Baltimore National Pike Ste 103; Catonsville; MD; 21228; FINANCIAL SERVICES/DBA; Client Service REP; 7/1/2018; 175; 160; SALE AND SERVICE FIXED INSURANCE AND SECURITIES PRODUCTS.|
CRS (Client Relationship Summary) - RIA
Click below to view Scott William Slacum'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: 9265 Corporate Circle, Manassas, VA 20110-4154Office #2: 6100 Baltimore National Pike, Ste 103, Baltimore, MD 21228RIA
CRD#: 105644
MANASSAS, VA
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 6100 Baltimore National Pike, Ste 103, Baltimore, MD 21228Office #2: 9265 Corporate Circle, Manassas, VA 20110-4154BD
CRD#: 13572
Baltimore, MD
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
STAFFORD, VA
Past
March 1, 2019 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
Baltimore, MD
Past
June 17, 2003 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
Baltimore, MD
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(1/5/2023)
RR
Arizona(6/9/2021)
RR
Arkansas(6/9/2021)
RR
California(6/9/2021)
RR
Colorado(6/9/2021)
RR
Connecticut(10/4/2022)
RR
Delaware(6/9/2021)
RR
District of Columbia(6/9/2021)
RR
Florida(6/10/2021)
RR
Georgia(6/9/2021)
RR
Maryland(6/9/2021)
IAR
Maryland(6/29/2023)
RR
Massachusetts(6/9/2021)
RR
Minnesota(1/5/2022)
RR
New Jersey(6/9/2021)
RR
New Mexico(6/9/2021)
RR
New York(6/9/2021)
RR
North Carolina(7/14/2022)
RR
Ohio(1/5/2023)
RR
Oklahoma(1/5/2023)
RR
Oregon(6/9/2021)
RR
Pennsylvania(6/9/2021)
RR
South Carolina(6/9/2021)
RR
Texas(10/29/2021)
IAR
Texas(6/29/2023)
RR
Utah(1/5/2023)
RR
Virginia(6/9/2021)
IAR
Virginia(6/29/2023)
RR
Washington(6/9/2021)
RR
West Virginia(6/9/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/28/2020
General Securities Representative ExaminationGeneral 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
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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.
