TS
Todd M. Scott
CETERA INVESTMENT ADVISERS LLC
MARQUETTE, MI 49855
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CRD#: 4012154
TS
Professional summary
Todd Michael Scott is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Marquette, Michigan and CETERA WEALTH SERVICES, LLC located in Marquette, Michigan.
Todd is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Todd has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE 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)NAME OF ENTITY:TODD SCOTT-RENTAL PROPERTY; No; 325 EAST ARCH & 518 High Street; MARQUETTE; MI; 49855; RENTAL PROPERTY- Own 2 properties now under lease.; owner/LANDLORD; 1/1/2001; 8; 8; rent out property, contract for the lease, and collect rents, fix and repair buildings when needed.| 2)NAME OF ENTITY:Northern Financial; Yes; 101 S FRONT ST STE 209; MARQUETTE; MI; 49855; DBA for insurance and investment business; agent; 1/1/2009; 160; 160; sales and service of fixed insurance products| 3)NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 101 S FRONT ST STE 209; MARQUETTE; MI; 49855; Fixed Insurance Sales; Independent Insurance Agent; 2/10/2009; 160; 160; Sales of Fixed Insurance Products| 4) NAME OF OTHER BUSINESS: MARQUETTE LITTLE LEAGUE; INVESTMENT RELATED: NO; ADDRESS: P.O. BOX 693, MARQUETTE, MI 49855; NATURE OF BUSINESS: BOARD; START DATE: 1/2025; POSITION/TITLE/RELATIONSHIP: ELECTED BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: PLAN SEASON, DISCUSS GAME RULES, HELP WITH PLAYER DRAFT; 5) NAME OF OTHER BUSINESS: NORTHERN FINANCIAL ASSOCIATES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 12/2024 , POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Todd Michael 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®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 101 S Front St, Ste 207, Marquette, MI 49855RIA
CRD#: 105644
MARQUETTE, MI
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 101 S Front St, Ste 207, Marquette, MI 49855BD
CRD#: 13572
MARQUETTE, MI
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
April 20, 2015 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
MARQUETTE, MI
Past
January 1, 2004 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
MARQUETTE, MI
Past
May 16, 2001 - January 1, 2004
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Past
January 27, 2000 - May 14, 2001
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
November 29, 1999 - January 24, 2000
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
Past
October 12, 1999 - October 20, 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(1/2/2025)
RR
Florida(6/10/2021)
RR
Illinois(6/9/2021)
RR
Michigan(6/9/2021)
IAR
Michigan(6/29/2023)
RR
Minnesota(6/9/2021)
RR
Wisconsin(6/9/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/15/2024
General Securities Representative ExaminationGeneral 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#: 105644Marquette, MI 49855TRUST BUT VERIFY
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