Scott Rivoira

CETERA INVESTMENT ADVISERS LLC

Aurora, CO 80016

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CRD#: 2403260

Professional summary

Scott Rivoira, who also goes by Scott D Rivoira, Scott David Rivoira, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Aurora, Colorado and CETERA INVESTMENT SERVICES LLC located in St Cloud, Minnesota.

Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Scott has worked at 15 firms and has passed the Series 66, Series 65, Series 63, Series 6TO, SIE, Series 7, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Scott D Rivoira | Scott David Rivoira

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.

USA HOCKEY REFEREE

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Rivoira'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

August 6, 2019 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 25207 E Indore Drive, Aurora, CO 80016

RIA

CRD#: 105644

Aurora, CO

Current

August 1, 2019 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 400 1st St S Ste 300, St Cloud, MN 56301

CRD#: 15340

St Cloud, MN

Past

April 11, 2019 - July 23, 2019

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

December 10, 2015 - October 19, 2016

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

October 28, 2013 - October 28, 2015

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

Past

October 23, 2013 - October 28, 2015

SII INVESTMENTS, INC.

RIA

CRD#: 2225

DENVER, CO

Past

October 14, 2013 - October 28, 2015

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

DENVER, CO

Past

October 14, 2013 - October 28, 2015

NATIONAL PLANNING CORPORATION

CRD#: 29604

DENVER, CO

Past

April 21, 2012 - October 11, 2013

CURIAN CLEARING, LLC

CRD#: 132938

DENVER, CO

Past

April 17, 2012 - October 11, 2013

CURIAN CAPITAL, LLC

RIA

CRD#: 120270

DENVER, CO

Past

November 17, 2010 - June 15, 2011

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CRD#: 17086

AUSTIN, TX

Past

January 9, 2008 - June 22, 2010

NATIONWIDE FUND DISTRIBUTORS LLC

CRD#: 25910

COLUMBUS, OH

Past

January 2, 2008 - January 9, 2008

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

Past

November 16, 2007 - December 31, 2007

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

Past

June 8, 2004 - October 1, 2007

JANUS HENDERSON DISTRIBUTORS US LLC

CRD#: 28832

DENVER, CO

Past

November 18, 1997 - December 9, 2003

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

NEW YORK, NY

Past

January 24, 1994 - April 12, 1994

DICKINSON & CO.

CRD#: 689

DES MOINES, IA

Past

October 25, 1993 - December 16, 1993

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

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

Alabama
(8/7/2019)

Alaska
(8/7/2019)

Arizona
(8/8/2019)

Arkansas
(8/6/2019)

California
(8/2/2019)

Colorado
(8/5/2019)

IAR

Colorado
(8/6/2019)

Connecticut
(8/7/2019)

Delaware
(8/8/2019)

District of Columbia
(8/8/2019)

Florida
(8/5/2019)

Georgia
(8/2/2019)

Hawaii
(8/23/2019)

Idaho
(8/2/2019)

Illinois
(8/5/2019)

Indiana
(8/5/2019)

Iowa
(8/9/2019)

Kansas
(8/9/2019)

Kentucky
(8/5/2019)

Louisiana
(8/6/2019)

Maine
(8/2/2019)

Maryland
(8/6/2019)

Massachusetts
(8/2/2019)

Michigan
(8/6/2019)

Minnesota
(8/9/2019)

Mississippi
(8/7/2019)

Missouri
(8/2/2019)

Montana
(8/2/2019)

Nebraska
(3/4/2020)

Nevada
(8/12/2019)

New Hampshire
(8/6/2019)

New Jersey
(3/5/2020)

New Mexico
(8/9/2019)

New York
(8/6/2019)

North Carolina
(8/2/2019)

North Dakota
(8/6/2019)

Ohio
(8/2/2019)

Oklahoma
(8/7/2019)

Oregon
(8/7/2019)

Pennsylvania
(8/6/2019)

Rhode Island
(8/2/2019)

South Carolina
(8/15/2019)

South Dakota
(8/8/2019)

Tennessee
(8/6/2019)

Texas
(8/13/2019)

IAR

Texas
(1/12/2023)

Utah
(8/2/2019)

Vermont
(8/6/2019)

Virginia
(8/2/2019)

Washington
(8/6/2019)

West Virginia
(8/16/2019)

Wisconsin
(8/7/2019)

Wyoming
(8/13/2019)

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 66

Date: 6/25/2019

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/3/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/19/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/19/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/22/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/10/2020

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 12/9/1997

Investment Company Products/Variable Contracts Principal 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.

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Advisor Monitoring

Firm Stability Insights

Scott Rivoira

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

THE LEADERS GROUP, INC.

VOYA FINANCIAL ADVISORS, INC.

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

CURIAN CLEARING, LLC

CURIAN CAPITAL, LLC

BBVA COMPASS INVESTMENT SOLUTIONS, INC

NATIONWIDE FUND DISTRIBUTORS LLC

NATIONWIDE INVESTMENT SERVICES CORPORATION

NATIONWIDE INVESTMENT SERVICES CORPORATION

JANUS HENDERSON DISTRIBUTORS US LLC

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

DICKINSON & CO.

CHATFIELD DEAN & CO., INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/25/2019

Series 65

Date: 6/3/2011

Series 63

Date: 9/19/2003

Series 6TO

Date: 1/2/2023

SIE

Date: 10/19/2016

Series 7

Date: 10/22/1993

Series 24

Date: 1/10/2020

Series 26

Date: 12/9/1997

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

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