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Scott Charles Derwick

Scott Charles Derwick

CFP®
CETERA INVESTMENT ADVISERS
OLEAN, NY
·CRD# 3146641·28 years experience

Professional Summary

Scott Charles Derwick, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Olean, New York and CETERA WEALTH SERVICES, LLC located in Olean, New York. Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Scott has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Credentials

CFP®
Certified Financial PlannerSince 2002

Years of Experience

28 years in the financial services industry

Current & Past Employments

CETERA INVESTMENT ADVISERS LLC·CRD# 105644
RIA
487 N Union St, Olean, NY 14760
June 29, 2023 - Present
CETERA WEALTH SERVICES, LLC·CRD# 13572
BD
487 N Union St, Olean, NY 14760
October 30, 2020 - Present
CETERA WEALTH SERVICES, LLC·CRD# 13572
RIA
El Segundo, CA
March 31, 2021 - June 29, 2023
AVANTAX INVESTMENT SERVICES, INC.·CRD# 13686
BD
Bradford, PA
November 30, 1998 - November 4, 2020

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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 - SEC (1/13/1984 Approved)

Contact Information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Phone Number

(310) 257-7880

# of Employees

10,251

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

813,961

AUM (Assets Under Management)

$256,813,748,739

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
09/25/2026Cover PageReport
10/27/2025Cover PageReport
12/13/2024Cover PageReport
09/26/2023Cover PageReport

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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.

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 7/1999 APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 2 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, ANNUITIES, AND LONG-TERM CARE 2. NAME OF OTHER BUSINESS: FOX HOLDINGS, INC DBA H&R BLOCK AND FOX FINANCIAL SERVICES INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: MANAGE OFFICE EMPLOYEES ALONG WITH THE PREPARATION OF TAX RETURNS. START DATE: 12/1998 POSITION/TITLE/RELATIONSHIP: SHAREHOLDER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: MANAGE OFFICE EMPLOYEES ALONG WITH THE PREPARATION OF TAX RETURNS. 3.NAME OF OTHER BUSINESS: BARTLETT COUNTRY CLUB; INVESTMENT RELATED: NO; ADDRESS: 32 EUCLID AVE, OLEAN, NY 14760; NATURE OF BUSINESS: BOARD; START DATE: 11/2022; POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: ASSIST IN MANAGEMENT OF THE COUNTRY CLUB; 4. NAME OF OTHER BUSINESS: OLEAN GENERAL HOSPITAL FOUNDATION INVESTMENT RELATED: NO ADDRESS: 515 MAIN STREET, OLEAN, NY 14760 NATURE OF BUSINESS: BOARD MEMBER START DATE: 11/2007 POSITION/TITLE/RELATIONSHIP: HONORARY MEMBER OF THE BOARD OF DIRECTORS APX NUMBER OF HOURS PER WEEK: MINIMAL APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: HONORARY MEMBER OF THE BOARD OF DIRECTORS 5. NAME OF OTHER BUSINESS: FOX FINANCIAL INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INVESTMENT PLANNING AND SALES START DATE: 1/1999 POSITION/TITLE/RELATIONSHIP: INVESTMENT REPRESENTATIVE APX NUMBER OF HOURS PER WEEK: 30 APX NUMBER OF HOURS DURING TRADING HOURS: 5 BRIEF DESCRIPTION OF DUTIES: INVESTMENT REPRESENTATIVE 6. NAME OF OTHER BUSINESS: SIX GUYS AND A SIMULATOR, LLC DBA UNION TEE GOLF; INVESTMENT RELATED: NO ; ADDRESS: 301 N UNION STREET OLEAN, NY 14760; NATURE OF BUSINESS: GOLF SIMULATOR BUSINESS; START DATE: 05/2024; POSITION/TITLE/RELATIONSHIP: MEMBER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: HELP WITH MANAGEMENT OF THE BUSINESS, ADVISE ON FINANCIALS; 7. NAME OF OTHER BUSINESS: OLEAN SCHOOLS FOUNDATION; INVESTMENT RELATED: NO, ADDRESS: 410 WEST SULLIVAN STREET, OLEAN, NY 14760, NATURE OF BUSINESS: ACADEMIC BOOSTER ORGANIZATION, START DATE: 12/2024, POSITION/TITLE/RELATIONSHIP: BOARD MEMBER, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 1, BRIEF DESCRIPTION OF DUTIES: ATTEND MEETINGS AND HELP FUND RAISING; 8. NAME OF OTHER BUSINESS: BARTLETT COUNTRY CLUB - MEN'S GOLF ASSOC.; INVESTMENT RELATED: NO; ADDRESS: 32 EUCLID AVE. OLEAN,NY 14760; NATURE OF BUSINESS: NON PROFIT; START DATE: 02/2026; POSITION/TITLE/RELATIONSHIP: BOOKKEEPER/TREASURER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: BILL PAYING FOR THE GOLF ASSOCIATION;

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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 - SEC (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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
District of Columbia
(8/23/2024)
RR
Florida
(10/30/2020)
RR
Georgia
(8/14/2024)
RR
Illinois
(5/14/2024)
RR
Maryland
(10/30/2020)
RR
New Jersey
(5/1/2026)
RR
New York
(10/30/2020)
IAR
New York
(6/29/2023)
RR
North Carolina
(11/9/2020)
RR
Ohio
(1/4/2022)
RR
Pennsylvania
(10/30/2020)
RR
South Carolina
(10/30/2020)
RR
Texas
(4/26/2024)
IAR
Texas
(4/26/2024)
RR
West Virginia
(10/30/2020)
RR
Wisconsin
(10/4/2021)

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 63 — Uniform Securities Agent State Law Examination

Passed Dec 1998About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Nov 1998About the Series 7 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Scott Charles Derwick's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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