SM
Scott R. Mersereau
KESTRA INVESTMENT SERVICES
Boca Raton, FL 33431
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CRD#: 2754487
SM
Professional summary
Scott Robert Mersereau is a registered financial professional currently at KESTRA INVESTMENT SERVICES, LLC located in Boca Raton, Florida.
Scott is registered as a RR (Registered Representative) and started their career in finance in 1998. Scott has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
KESTRA ADVISORY SERVICES POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/26/2024 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: IAR WEALTH EMPOWERMENT FINANCIAL STRATEGIES POSITION: Registered Representative NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/26/2024 ADDRESS: 1600 sw 6th ave, Boca Raton FL 33431, United States DESCRIPTION: Sale of suitable financial investments to clients. ongoing monitoring and meeting with clients to review financial needs.
CRS (Client Relationship Summary) - BD
Click below to view Scott Robert Mersereau'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
October 1, 2024 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 2424 North Federal Highway Suite 400, Boca Raton, FL 33431BD
CRD#: 42046
Boca Raton, FL
Past
October 3, 2024 - December 12, 2024
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
Boca Raton, FL
Past
July 22, 2022 - October 30, 2024
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
BOCA RATON, FL
Past
May 2, 2014 - October 30, 2024
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
BOCA RATON, FL
Past
November 22, 2013 - July 22, 2022
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
BOCA RATON, FL
Past
April 15, 1998 - May 6, 2014
ASSET & FINANCIAL PLANNING, LTD
RIA
CRD#: 110709
BOCA RATON, FL
Past
February 13, 1998 - November 22, 2013
PRIME CAPITAL SERVICES, INC.
BD
CRD#: 18334
BOCA RATON, FL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
California(10/1/2024)
RR
Colorado(5/6/2025)
RR
Florida(10/1/2024)
RR
Georgia(4/15/2025)
RR
Illinois(10/1/2024)
RR
Indiana(10/1/2024)
RR
Kentucky(10/1/2024)
RR
Maine(10/1/2024)
RR
Massachusetts(10/1/2024)
RR
Minnesota(4/15/2025)
RR
New Jersey(10/1/2024)
RR
New York(10/1/2024)
RR
North Carolina(4/23/2025)
RR
Oregon(10/1/2024)
RR
Pennsylvania(4/15/2025)
RR
Tennessee(10/1/2024)
RR
Virginia(10/1/2024)
RR
Wisconsin(4/15/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KI
KESTRA INVESTMENT SERVICES, LLC
KESTRA INVESTMENT SERVICES, LLC | PARTNERS SECURITIES, INC. | NFP SECURITIES, INC. | NFP SECIRITIES, INC. | NFP ADVISOR SERVICES, LLC | NFP ADVISOR SERVICES
CRD#: 42046 / SEC#: , 8-49672
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
5707 Southwest Parkway 2-125, Austin, TX 78746
Mailing Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Phone number
(844) 553-7872
Established
Texas since 09/01/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
Red Flags
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Company Information
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046Boca Raton, FL 33431TRUST BUT VERIFY
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