RS
Rex W. Scott
CETERA INVESTMENT ADVISERS LLC
MT VERNON, IL 62864
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CRD#: 3141269
RS
Professional summary
Rex Walter Scott, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mt Vernon, Illinois and CETERA FINANCIAL SPECIALISTS LLC located in Mt Vernon, Illinois.
Rex is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Rex has worked at 3 firms and has passed the Series 66, 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) SCOTTS ACCOUNTING AND TAX SERVICE, OWNER SINCE 1/1/83-PREP TAX RETS, ACCTG & GEN BUS SVC-20HR/WK; 2) GREENHEAD INVESTMENTS, INC., NOT INV REL, SAME AS REGISTERED ADDRESS, COMMERCIAL RENTAL PROPERTY, SINCE 01/1997, 1H/WK, PRESIDENT, COLLECT RENTS & PAY INVOICES. 3) NAME OF OTHER BUSINESS: SCOTT WEALTH MANAGEMENT, LLC, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: TAX AND ACCOUNTING, START DATE: 01/2022, POSITION/TITLE/RELATIONSHIP: PART OWNER, APX NUMBER OF HOURS PER WEEK: 30, APX NUMBER OF HOURS DURING TRADING HOURS: 30, BRIEF DESCRIPTION OF DUTIES: ACCOUNTING AND TAX SERVICES, 'POWER OF ATTORNEY FOR IRS AND OTHER TAX MATTERS;
CRS (Client Relationship Summary) - RIA
Click below to view Rex Walter Scott'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®
CFP®
Start date: 2004
Experience
Current
July 6, 2001 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 113 South 32nd, Mt Vernon, IL 62864RIA
CRD#: 105644
MT VERNON, IL
Current
November 5, 1999 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 113 S 32nd, Mt Vernon, IL 62864BD
CRD#: 10358
Mt Vernon, IL
Past
November 5, 1998 - November 8, 1999
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, 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
Colorado(10/5/2023)
RR
Illinois(11/5/1999)
IAR
Illinois(7/6/2001)
RR
Kentucky(8/2/2022)
RR
Missouri(7/9/2024)
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#: 105644Mt Vernon, IL 62864TRUST BUT VERIFY
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