Scott N. Brody

VESTED FINANCE

El Segundo, CA 90245

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CRD#: 2890610

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 and Series 24 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Nathan Brody's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 3, 2022 - Present

VESTED FINANCE

Office #1: 222 Sepulveda Blvd. 10-124, El Segundo, CA 90245

RIA

CRD#: 299272

El Segundo, CA

Current

July 7, 2022 - Present

VF SECURITIES

Office #1: 222 N. Sepulveda Blvd., Suite 10-124, El Segundo, CA 90245

CRD#: 315194

El Segundo, CA

Past

January 2, 2014 - February 2, 2022

SYMPHONIC SECURITIES LLC

CRD#: 139512

NEW YORK, NY

Past

January 2, 2014 - February 2, 2022

CNR SECURITIES, LLC

CRD#: 18466

NEW YORK, NY

Past

August 8, 2012 - February 2, 2022

CITY NATIONAL SECURITIES, INC.

RIA

CRD#: 103705

LOS ANGELES, CA

Past

August 8, 2012 - February 2, 2022

CITY NATIONAL SECURITIES, INC.

CRD#: 103705

LOS ANGELES, CA

Past

December 9, 2010 - August 3, 2012

TCW FUNDS DISTRIBUTORS LLC

CRD#: 16670

LOS ANGELES, CA

Past

December 22, 2009 - August 6, 2012

METROPOLITAN WEST ASSET MANAGEMENT LLC

RIA

CRD#: 104571

LOS ANGELES, CA

Past

December 22, 2009 - December 8, 2010

MWAM DISTRIBUTORS, LLC

CRD#: 132031

LOS ANGELES, CA

Past

June 16, 2009 - November 13, 2009

ASSOCIATED SECURITIES CORP.

RIA

CRD#: 12969

EL SEGUNDO, CA

Past

March 27, 2006 - December 15, 2009

ASSOCIATED PLANNERS INVESTMENT ADVISORY INC

RIA

CRD#: 104790

EL SEGUNDO, CA

Past

January 10, 2006 - November 13, 2009

ASSOCIATED SECURITIES CORP.

CRD#: 12969

EL SEGUNDO, CA

Past

January 21, 2005 - January 11, 2006

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

January 20, 2005 - February 8, 2005

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

April 10, 2003 - January 13, 2005

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

SAN DIEGO, CA

Past

August 15, 2002 - January 13, 2005

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

SAN DIEGO, CA

Past

October 8, 1997 - May 29, 2001

E*TRADE SECURITIES LLC

CRD#: 29106

JERSEY CITY, 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".

VESTED FINANCE

VESTED | VESTED FINANCE INC. | VESTED FINANCE

CRD#: 299272 / SEC#: 801-114441

RIA

Registered Investment Advisory firm - (12/13/2018 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.

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

IAR

California
(3/3/2022)

California
(7/7/2022)

Florida
(2/14/2023)

Georgia
(12/5/2022)

New Jersey
(1/17/2025)

IAR

New Jersey
(2/3/2025)

Texas
(5/1/2023)

Washington
(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

State Security Law Exam

IAR

Series 66

Date: 4/9/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/5/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 2/4/2025

Operations Professional Examination

General Industry/Product Exam

Series 82TO

Date: 1/2/2023

Limited Representative-Private Securities Offerings

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/7/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 53

Date: 5/25/2004

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 9/10/1999

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/9/1999

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

VESTED FINANCE

VESTED | VESTED FINANCE INC. | VESTED FINANCE

CRD#: 299272 / SEC#: 801-114441

RIA

Registered Investment Advisory firm - (12/13/2018 Approved)

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Contact information

Main Address

110 Swift Avenue, Durham, NC 27705

Mailing Address

222 N. Sepulveda Drive (pch) Suite 10-124, El Segundo, CA 90245

Phone number

(310) 895-3927

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 FORM ADV PART 2- 7-31-25 (7/31/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Scott N. Brody

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Nathan Brody's CRS (Customer Relationship Summary).

Certified licenses

Experience

VF SECURITIES

SYMPHONIC SECURITIES LLC

CNR SECURITIES, LLC

CITY NATIONAL SECURITIES, INC.

CITY NATIONAL SECURITIES, INC.

TCW FUNDS DISTRIBUTORS LLC

METROPOLITAN WEST ASSET MANAGEMENT LLC

MWAM DISTRIBUTORS, LLC

ASSOCIATED SECURITIES CORP.

ASSOCIATED PLANNERS INVESTMENT ADVISORY INC

ASSOCIATED SECURITIES CORP.

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES, L.P.

E*TRADE SECURITIES LLC

Primary Firm SEC Registration

VESTED FINANCE

State Registrations and Notice Filings

Exams

Series 66

Date: 4/9/2003

Series 63

Date: 11/5/1997

Series 99TO

Date: 2/4/2025

Series 82TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/7/1997

Series 14

Date: 1/2/2023

Series 53

Date: 5/25/2004

Series 4

Date: 9/10/1999

Series 24

Date: 6/9/1999

FINRA

Current Firm

VESTED FINANCE

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

VESTED FINANCE

TRUST BUT VERIFY

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