SM
Scott R. Mcgimpsey
CETERA INVESTMENT ADVISERS LLC
TINTON FALLS, NJ 07724
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CRD#: 2723146
SM
Professional summary
Scott Robert Mcgimpsey is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Tinton Falls, New Jersey and CETERA WEALTH SERVICES, LLC located in Tinton Falls, New Jersey.
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 10 firms and has passed the Series 65, Series 63, SIE and Series 7 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) GUARDIAN LIFE INSURANCE COMPANY OF AMERICA; SINCE 01/01/2006; 1040 BROAD ST. STE 202, SHREWSBURY, NJ, 07702; FINANCIAL PROFESSIONAL; LIFE INSURANCE; 30 HOURS SPENT ON ACTIVITY PER MONTH, 0 DURING TRADING HOURS (2) MCGIMPSEY ASSOCIATES; SINCE 11/01/2013; 48 DEEPDALE DR, MIDDLETOWN, NJ, 07748; PRESIDENT; This LLC is used for business accounting and tax purposes only; 0 HOURS SPENT ON ACTIVITY PER MONTH (3) NAME OF OTHER BUSINESS: UNIFIED PLANNING GROUP, LLC INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 08/2015, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES AND FIXED INSURANCE; (4) NAME OF OTHER BUSINESS: AMERICAN FINANCIAL EDUCATION ALLIANCE (AEFA); INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NON PROFIT; START DATE: 10/2024; POSITION/TITLE/RELATIONSHIP: CHAPTER PRESIDENT; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES:TEACHING CLASSES ON GENERAL FINANCIAL EDUCATION SUCH AS SOCIAL SECURITY AND MEDICARE;
CRS (Client Relationship Summary) - RIA
Click below to view Scott Robert Mcgimpsey'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: 766 Shrewsbury Ave West Building; Suite 101b, Tinton Falls, NJ 07724RIA
CRD#: 105644
TINTON FALLS, NJ
Current
September 20, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 766 Shrewsbury Ave West Building; Suite 101b, Tinton Falls, NJ 07724BD
CRD#: 13572
Tinton Falls, NJ
Past
May 20, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
June 28, 2016 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
RED BANK, NJ
Past
October 20, 2015 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
RED BANK, NJ
Past
April 28, 2003 - October 30, 2015
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
RED BANK, NJ
Past
July 24, 2002 - May 22, 2003
GRAYSON FINANCIAL LLC
BD
CRD#: 11764
RED BANK, NJ
Past
February 19, 1999 - August 16, 1999
HD BROUS & CO., INC.
BD
CRD#: 22062
GREAT NECK, NY
Past
March 19, 1997 - August 27, 1998
M.S. FARRELL & COMPANY, INC.
BD
CRD#: 24232
SYOSSET, NY
Past
January 4, 1997 - March 31, 1997
THE BOSTON GROUP
BD
CRD#: 37652
LOS ANGELES, CA
Past
March 29, 1996 - September 30, 1996
INVESTORS ASSOCIATES, INC.
BD
CRD#: 958
HACKENSACK, NJ
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(9/20/2019)
RR
Arkansas(9/20/2019)
RR
California(9/20/2019)
RR
Delaware(1/7/2020)
RR
Florida(9/21/2019)
RR
Idaho(9/20/2019)
RR
Indiana(9/20/2019)
RR
Iowa(4/23/2025)
RR
Massachusetts(9/20/2019)
RR
Michigan(9/20/2019)
RR
Missouri(9/20/2019)
RR
New Jersey(9/20/2019)
IAR
New Jersey(6/29/2023)
RR
New York(9/20/2019)
RR
North Carolina(11/5/2020)
RR
Ohio(9/20/2019)
RR
Oregon(9/30/2025)
RR
South Carolina(9/20/2019)
RR
Texas(9/20/2019)
IAR
Texas(6/29/2023)
RR
Utah(9/20/2019)
RR
Virginia(9/20/2019)
RR
Wisconsin(9/20/2019)
Exams
State Security Law Exam
State Security Law 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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Tinton Falls, NJ 07724TRUST BUT VERIFY
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