SB
Scott V. Babcock
CETERA INVESTMENT ADVISERS LLC
OVERLAND PARK, KS 66210
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CRD#: 2176455
SB
Professional summary
Scott Vincent Babcock is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Overland Park, Kansas and CETERA ADVISORS LLC located in Overland Park, Kansas.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Scott has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 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. FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED; ADDRESS IS THE REGISTERED LOCATION; FIXED INSURANCE; START 5/2015; 1 HOUR/WEEK; VARIES DURING TRADING AND NON-TRADING HOURS; INSURANCE AGENT; SELLS LIFE, DISABILITY, ANNUITIES, AND LONG TERM CARE. 2. NAME OF OTHER BUSINESS: SCOTT V. BABCOCK, INVESTMENT RELATED: NO, ADDRESS: SAME IS REGISTERED LOCATION, NATURE OF BUSINESS: CONSULTING ATTORNEYS ON FINANCIAL INDUSTRY, START DATE: 5/2016, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF TRADING HOURS PER WEEK: 1, POSITION/TITLE/RELATIONSHIP: CONSULTANT, BRIEF DESCRIPTION OF DUTIES: CONSULT ABOUT HOW ADVISERS DO THEIR JOB; 3. NAME OF OTHER BUSINESS: BEYOND CELIAC ; INVESTMENT RELATED: NO ADDRESS: 124 SOUTH MAPLE ST AMBER PA 19002 ; NATURE OF BUSINESS: NON-PROFIT FUNDRAISER ; START DATE: 05/2017 POSITION/TITLE/RELATIONSHIP: CO-CHAIR APX NUMBER OF HOURS PER WEEK: 4 ; APX NUMBER OF HOURS DURING TRADING HOURS: 4; BRIEF DESCRIPTION OF DUTIES: ADVISE ON THE EVENT AND COORDINATE THE PRODUCTION; 4.RPB WEALTH MANAGEMENT, INC, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 01/2021, OWNER, APX NUMBER OF HOURS PER WEEK: 40, 32.5 DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 5. NAME OF OTHER BUSINESS: VILLAS OF GRAYSON PLACE HOA; INVESTMENT RELATED: NO; ADDRESS:22207 W 121ST STREET OLATHE, KS 66061; NATURE OF BUSINESS: HOMEOWNERS ASSOCIATION; START DATE: 1/2022; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; BRIEF DESCRIPTION OF DUTIES: REPRESENT RESIDENTS FOR MAINTENANCE, COMMON AREAS AND FACILITY ISSUES ;
CRS (Client Relationship Summary) - RIA
Click below to view Scott Vincent Babcock'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
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 10955 Lowell Ave Ste 400, Overland Park, KS 66210RIA
CRD#: 105644
OVERLAND PARK, KS
Current
January 20, 2012 - Present
CETERA ADVISORS LLC
Office #1: 10955 Lowell Ave Ste 400, Overland Park, KS 66210BD
CRD#: 10299
Overland Park, KS
Past
January 20, 2012 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
December 30, 1997 - January 25, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
LEAWOOD, KS
Past
October 16, 1991 - January 25, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
LEAWOOD, KS
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
Arizona(2/11/2021)
RR
Arkansas(5/15/2015)
RR
California(1/20/2012)
RR
Colorado(7/12/2023)
RR
Florida(11/6/2017)
RR
Georgia(11/18/2024)
RR
Illinois(10/15/2024)
RR
Indiana(6/9/2017)
RR
Kansas(1/20/2012)
IAR
Kansas(3/21/2024)
RR
Maryland(1/5/2024)
RR
Minnesota(7/21/2021)
RR
Missouri(1/20/2012)
RR
Nevada(3/12/2020)
RR
New Hampshire(1/5/2024)
RR
New Mexico(1/20/2012)
RR
North Carolina(1/9/2024)
RR
Ohio(3/17/2020)
RR
Oklahoma(1/24/2012)
RR
Oregon(1/20/2012)
RR
South Dakota(12/7/2018)
RR
Texas(1/20/2012)
IAR
Texas(3/21/2024)
RR
Utah(10/6/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Overland Park, KS 66210TRUST BUT VERIFY
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