Scott Nathan Brody
Professional Summary
Scott Nathan Brody is a registered financial advisor currently at VESTED FINANCE located in El Segundo, California and VF SECURITIES located in El Segundo, California. 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 13 firms and has passed the Series 66, Series 63, Series 99TO, Series 82TO, Series 52TO, SIE, Series 7, Series 14, Series 53, Series 4...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
VESTED | VESTED FINANCE INC. | VESTED FINANCE
Contact Information
Main Address
110 Swift Avenue, Durham, NC 27705Mailing Address
222 N. Sepulveda Drive (pch) Suite 10-124, El Segundo, CA 90245Phone Number
(310) 895-3927# of Employees
60SEC notice filing (4 States and Territories)
Registered to provide investment advisory services in 4 US states and territories.
Documents
Part 2 Brochures
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
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Primary Firm SEC Registration
VESTED | VESTED FINANCE INC. | VESTED FINANCE
State Registrations and Notice Filings
(3/3/2022)
(7/7/2022)
(2/14/2023)
(12/5/2022)
(1/17/2025)
(2/3/2025)
(5/1/2023)
(5/10/2023)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 82TO — Limited Representative-Private Securities Offerings
Passed Jan 2023About the Series 82TO examSeries 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Scott Nathan Brody's CRS (Customer Relationship Summary).
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