Scott S. Rast

CETERA INVESTMENT ADVISERS LLC

LAKE COMO, NJ

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CRD#: 2229024

Professional summary

Scott Stephen Rast is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Lake Como, New Jersey and CETERA WEALTH SERVICES, LLC located in Lake Como, New Jersey.

Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Scott has worked at 8 firms and has passed the Series 65, Series 63, 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.

NAME OF ENTITY:Rast Financial Services, LLC/Scott S Rast Insurance; Yes; 600 17TH AVE; BELMAR; NJ; 7719; FINANCIAL SERVICES/TAX PREP; owner; 1/1/2003; 108; 102; DBA for insurance and securities sales/PREP TAXES|NAME OF ENTITY:Scott S Rast - Musician; No; 600 17TH AVE; BELMAR; NJ; 7719; Sole-Proprietor; Musician; 1/1/2015; 12; 0; Performs music at benefits, local taverns, and wineries.|NAME OF ENTITY:American Insurance Services; No; 1129 RARITAN ROAD; CLARK; NJ; 7066; property and casualty; producer; 1/1/1998; 1; 1; property and casualty for businesses|NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 600 17TH AVE; BELMAR; NJ; 7719; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 1/3/2002; 160; 160; SALES OF FIXED INSURANCE PRODUCTS|

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Stephen Rast's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

LAKE COMO, NJ

Current

June 9, 2021 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

LAKE COMO, NJ

Past

June 9, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

August 28, 2009 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

LAKE COMO, NJ

Past

January 1, 2004 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

LAKE COMO, NJ

Past

January 3, 2002 - January 1, 2004

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

September 12, 1994 - December 31, 2001

STUART STONE & CO., LLC

CRD#: 18190

FLORHAM PARK, NJ

Past

October 20, 1992 - September 13, 1994

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

OMAHA, NE

Past

May 12, 1992 - September 23, 1992

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

May 12, 1992 - September 23, 1992

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Arizona
(8/3/2022)

Florida
(6/10/2021)

New Jersey
(6/9/2021)

IAR

New Jersey
(6/29/2023)

New York
(6/9/2021)

North Carolina
(6/9/2021)

Pennsylvania
(6/9/2021)

Vermont
(5/4/2022)

Wisconsin
(6/9/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/4/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/16/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 5/1/1992

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Scott S. Rast

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Stephen Rast's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

LOCUST STREET SECURITIES, INC.

STUART STONE & CO., LLC

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/4/2009

Series 63

Date: 9/16/1998

SIE

Date: 10/1/2018

Series 6

Date: 5/1/1992

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Contact information

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