SG
Scott T. Gross
CETERA INVESTMENT ADVISERS LLC
MANKATO, MN 56001
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CRD#: 2660074
SG
Professional summary
Scott Thomas Gross, who also goes by Scott Gross, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mankato, Minnesota and CETERA WEALTH SERVICES, LLC located in Mankato, Minnesota.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Scott has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Scott Gross
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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 06/2019 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY AND ANNUITIES 1. NAME OF OTHER BUSINESS: B&G PROPERTIES INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: PROPERTY OWNERSHIP START DATE: 1997 POSITION/TITLE/RELATIONSHIP: PRESIDENT APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 5 BRIEF DESCRIPTION OF DUTIES: OWNERSHIP OF BUILDING WHERE BUSINESS IS CONDUCTED 1. NAME OF OTHER BUSINESS: MIDWEST FINANCIAL SERVICES, INC. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 06/2019 POSITION/TITLE/RELATIONSHIP: 2015 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PRESIDENT - OFFER FINANCIAL SERVICES; 2) NAME OF OTHER BUSINESS: SOUTH LONG LAKE ASSOCIATION, INVESTMENT RELATED: NO, ADDRESS: P.O. BOX 201, BRAINERD, MN, 56401, NATURE OF BUSINESS: HOA, START DATE: 01/2023, POSITION/TITLE/RELATIONSHIP: SECRETARY, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: ATTEND MEETING, FILE NOTES, HELP MAKE DECISIONS;
CRS (Client Relationship Summary) - RIA
Click below to view Scott Thomas Gross'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: 1021 Madison Ave, Mankato, MN 56001RIA
CRD#: 105644
MANKATO, MN
Current
June 14, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1704 North River Front Dr. Ste 104, Mankato, MN 56001BD
CRD#: 13572
Mankato, MN
Past
June 14, 2019 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
June 29, 2016 - June 14, 2019
CAPITAL FINANCIAL SERVICES, INC.
RIA
CRD#: 8408
MANKATO, MN
Past
June 21, 2013 - June 14, 2019
CAPITAL FINANCIAL SERVICES, INC.
BD
CRD#: 8408
MANKATO, MN
Past
October 3, 2011 - June 21, 2013
ALLIED BEACON PARTNERS, INC.
BD
CRD#: 46227
MANKATO, MN
Past
April 28, 2006 - September 30, 2011
WORKMAN SECURITIES CORPORATION
BD
CRD#: 31898
MANKATO, MN
Past
December 16, 2003 - May 1, 2006
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
MANKATO, MN
Past
May 9, 2001 - September 22, 2003
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
July 29, 1999 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
July 16, 1999 - May 3, 2001
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
March 27, 1996 - December 31, 1997
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
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(4/4/2025)
RR
Hawaii(7/29/2024)
RR
Iowa(6/14/2019)
RR
Minnesota(6/14/2019)
IAR
Minnesota(6/29/2023)
RR
Nebraska(10/14/2024)
RR
Ohio(6/14/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General 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
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.
