Patricia A. Scott
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Patricia Ann Scott, who also goes by Patricia Ann Barnhill, Patti Barnhill, Patricia Barnhill Scott, Patti Scott, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1993. Patricia had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2025 - April 1, 2026
CETERA INVESTMENT ADVISERS LLC
December 15, 2025 - April 1, 2026
CETERA ADVISORS LLC
April 6, 2009 - December 18, 2025
LPL FINANCIAL LLC
April 6, 2009 - December 18, 2025
LPL FINANCIAL LLC
October 20, 2005 - April 8, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 20, 2005 - April 8, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 13, 2005 - October 3, 2005
WALLSTREET*E FINANCIAL SERVICES, INC.
November 8, 2004 - December 8, 2004
CITISTREET FINANCIAL SERVICES LLC
November 2, 2004 - December 8, 2004
CITISTREET EQUITIES LLC
February 18, 2003 - May 25, 2004
WAMU INVESTMENTS, INC.
October 29, 1999 - February 10, 2003
U.S. BANCORP INVESTMENTS, INC.
May 14, 1999 - September 15, 1999
KEYBANC CAPITAL MARKETS INC.
September 4, 1997 - May 14, 1999
KEY INVESTMENTS INC.
September 15, 1993 - September 2, 1997
BANC ONE SECURITIES CORPORATION
March 12, 1993 - May 7, 1993
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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 |
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.
