SW
Scott A. Winslow
CETERA INVESTMENT ADVISERS LLC
WILMINGTON, NC 28403
Some features on this profile are disabled
CRD#: 2847965
SW
Professional summary
Scott Ambrose Winslow, ChFC®, CLU® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Wilmington, North Carolina and CETERA ADVISORS LLC located in Wilmington, North Carolina.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Scott has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 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.
1 DBA: NABELL WINSLOW, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, 09/2013, OVER 40 HRS/WK, DURING TRADING HRS, PART OWNER - RR, IAR 2 LIFE SETTLEMENT BUSINESS, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, LIFE SETTLEMENTS, 09/2013, LESS THAN 1 HR/WK - VARIES DURING TRADING HOURS, INSURANCE AGENT, SELLS LIFE SETTLEMENTS THROUGH WELCOME FUNDS, INC 3 FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, 09/2013, 1 HR/WK - VARIES DURING TRADING HRS, INSURANCE AGENT - SELLS LIFE, HEALTH, DISABILITY, LONG-TERM CARE &ANNUITIES 4 PROPERTY OWNER, NOT INVESTMENT RELATED, FARMLAND LOCATED IN NC, 2007, LESS THAN 1 HR/WK - NOT DURING TRADING HRS, 100% OWNER, RENTS FARMLAND TO A FARMER 5 PARTNERS SQUARE LLC, INVESTMENT RELATED; SAME AS REGISTERED LOCATION; INSURANCE MARKETING ORGANIZATION; 7/2015; 5-10 HRS/WK DURING SECURITY TRADING HRS; OWNER 6 MASONBORO CAPITAL PROPERTIES, INVESTMENT RELATED: NO ADDRESS: 1015 ASHES DR SUITE 100 WILMINGTON NC 28405, NATURE OF BUSINESS: PURCHASE BUILDING TO DOMICILE NABELL WINSLOW, 2/2016, APX # OF HRS/WK: 1, TITLE: OWNER 7 SAWW HOLDINGS LLC, NOT INVESTMENT RELATED, SAME AS RESIDENTIAL LOCATION NATURE OF BUSINESS: REAL ESTATE HOLDING, 11/2016, APX # OF HRS/WK: 1, POSITION: 100% OWNER, DUTIES: SET UP FOR ASSET PROTECTION FOR REAL ESTATE 8 CMAP HOLDINGS, LLC.,INVESTMENT RELATED: NO, SAME AS RESIDENTIAL LOCATION, NATURE: REAL ESTATE HOLDING,11/2016, APX # OF HRS/WK: 1, POSITION: OWNER DUTIES: SET UP FOR ASSET PROTECTION FOR REAL ESTATE 9 TREE FARM PROPERTIES LLC INVESTMENT RELATED: NO SAME AS RESIDENTIAL LOCATION NATURE OF BUSINESS: REAL ESTATE HOLDING 4/2018 APX # OF HRS/WK: 1 POSITION: OWNER DUTIES: GENERAL DUTIES 10 BUTLER ROAD PROPERTIES, LLC INVESTMENT RELATED: NO SAME AS RESIDENTIAL LOCATION NATURE OF BUSINESS: REAL ESTATE HOLDING START: 4/2018 APX # OF HRS/WK: 1 POSITION: OWNER DUTIES: GENERAL DUTIES 11 MASONBORO CAPITAL GROUP, LLC INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 09/2013, RR APX # OF HRS/WK: 50, 32.5 DURING TRADING HRS; DUTIES: DBA FOR FINANCIAL SERVICES 12 THE AMERICAN COLLEGE OF FINANIAL SERVICES; INVESTMENT RELATED: NO; 630 ALLENDALE ROAD SUITE 400 KING OF PRUSSIA, PA 19406; NATURE OF BUSINESS: BOARD; 1/2021; TITLE: BOARD MEMBER; APX # OF HRS/WK: 1; DUTIES: SUPPORT COLLEGE MISSION, PROVIDE INSIGHT ON CURRICULUM AND INITIATIVES 13 UNIVERSITY OF MOUNT OLIVE; INVESTMENT RELATED: NO; MOUNT OLIVE NC 28365; NATURE OF BUSINESS: BOARD;12/2020; TITLE: DIRECTOR; APX # OF HRS/WK: VARIES; DUTIES: FUNDRAISING, STEWARDSHIP FOR UNIVERSITY 14 AICCFC; INVESTMENT RELATED: NO; 472 BARTON POST RD, ORANGE CT 66477; NATURE OF BUSINESS: ADVISORY BOARD; 09/2021; TITLE: BOARD MEMBER; APX # OF HRS/WK: 1-3; DUTIES: OFFER ADVICE ON CORRECULUM AND GROWTH 15 NABELL WINSLOW INVESTMENTS & WEALTH MANAGEMENT;INVESTMENT RELATED,SAME AS REGISTERED LOCATION,FINANCIAL SERVICES,09/2013,OWNER;APX # HRS/WK/DURING TRADING HRS: 40/32.5; DBA FOR FINANCIAL SERVICES; 16 NABELL WINSLOW WEALTH MANAGEMENT;INVESTMENT RELATED,SAME AS REGISTERED LOCATION,FINANCIAL SERVICES,09/2013;OWNER;APX # HRS/WK/DURING TRADING HRS: 40/32.5; DBA FOR FINANCIAL SERVICES; 17 NABELL WINSLOW INSURANCE;INVESTMENT RELATED,SAME AS REGISTERED LOCATION,FINANCIAL SERVICES,09/2013,OWNER;APX # HRS/WK/DURING TRADING HRS: 40/32.5; DBA FOR FINANCIAL SERVICES; 18 NABELL WINSLOW LIFE INSURANCE;INVESTMENT RELATED,SAME AS REGISTERED LOCATION,FINANCIAL SERVICES,09/2013,OWNER;APX # HRS/WK/DURING TRADING HRS: 40/32.5; DBA FOR FINANCIAL SERVICES; 19 THE AMERICAN COLLEGE O. GRANUM CENTER FOR FINANCIAL SECURITY;NO;630 ALLENDALE RD KING OF PRUSSIA, PA 19406;NON PROF;06/2023;CHAIRMAN;VARIES;EXPLORE AND ADDRESS ISSUES IN WEALTH PLANNING INDUSTRY; 20)THE AMERICAN COLLEGE OF FINANCIAL SERVICES;NO;630 ALLENDALE RD KING OF PRUSSIA, PA 19406;NON PROF;09/2023;FINSERV AMBASSADOR;VARIES;PROMOTING COLLEGE AND FINANCIAL LITERACY;
CRS (Client Relationship Summary) - RIA
Click below to view Scott Ambrose Winslow'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®
Experience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 219 Racine Dr Ste A-1, Wilmington, NC 28403RIA
CRD#: 105644
WILMINGTON, NC
Current
September 5, 2013 - Present
CETERA ADVISORS LLC
Office #1: 219 Racine Dr Ste A-1, Wilmington, NC 28403BD
CRD#: 10299
Wilmington, NC
Past
September 5, 2013 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
December 19, 2007 - September 9, 2013
FIRST CITIZENS INVESTOR SERVICES, INC.
RIA
CRD#: 44430
WILMINGTON, NC
Past
September 6, 2001 - September 9, 2013
FIRST CITIZENS INVESTOR SERVICES, INC.
BD
CRD#: 44430
WILMINGTON, NC
Past
January 13, 1998 - August 29, 2001
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
October 1, 1997 - November 26, 1997
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
February 24, 1997 - October 1, 1997
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
BD
CRD#: 5178
FORT WAYNE, IN
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(6/8/2018)
RR
Florida(9/5/2013)
RR
Georgia(9/22/2020)
RR
Idaho(12/7/2017)
RR
Indiana(7/21/2015)
RR
Maryland(10/16/2017)
RR
Massachusetts(9/25/2020)
RR
New York(1/2/2024)
RR
North Carolina(9/5/2013)
IAR
North Carolina(3/21/2024)
RR
Ohio(8/26/2020)
RR
Oregon(5/18/2016)
RR
Rhode Island(12/10/2019)
RR
South Carolina(9/5/2013)
RR
Tennessee(8/29/2025)
RR
Texas(5/8/2015)
IAR
Texas(3/21/2024)
RR
Virginia(9/5/2013)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Wilmington, NC 28403TRUST BUT VERIFY
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