SM
Scott A. Mitchem
CETERA INVESTMENT ADVISERS LLC
SCHAUMBURG, IL 60173-2096
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CRD#: 4042620
SM
Professional summary
Scott Albert Mitchem is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Schaumburg, Illinois and CETERA WEALTH SERVICES, LLC located in Phoenix, Arizona.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Scott has worked at 7 firms and has passed the Series 66, SIE and Series 7 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) LAS PALMAS II 13, LLC POSITION: OWNER NATURE: RENTAL REAL ESTATE INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 05/25/2013 ADDRESS: Sonora, United States DESCRIPTION: BOTH MY SISTER AND I ARE THE MANAGERS OF OUR LLC AND WE HAVE A DUTY TO EACH OTHER 2) S.S.T. INVESTMENTS POSITION: MEMBER, VARIABLE OWNER NATURE: PERSONAL INVESTMENTS IN LIMITED PARTNERSHIPS INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/10/2006 ADDRESS: Phoenix AZ , United States DESCRIPTION: Personal investments 3) State of Arizona State Board of Accountancy POSITION: committee member NATURE: The Arizona State Board of Accountancy is a consumer watchdog organization that regulates Certified Public Accountants in the State of Arizona INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 01/19/2016 ADDRESS: PHOENIX ARIZONA 85007 DESCRIPTION: Serve on the Law Review committee; meets about once a month 4) PRICE KONG PENSION PLANS POSITION: Trustee NATURE: Company pension plan. Sam Winheim retired and I joined Anthony Kong as a Trustee of the Plan INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2018 ADDRESS: 5300 N Central Ave. Ste 200, Phoenix AZ 85012, DESCRIPTION: I review bookkeeping and TPA prepared tax returns I approve employee loans and disbursement from the plan based on the plan documents All investments are self directed. 5)PK FINANCIAL STRATEGIES, LLC; INVESTMENT ADVISER REPRESENTATIVE; IR; 05/01/2005; 6)PRICE KONG & COMPANY CPAS PA; DIRECTOR; NIR; 04/01/1987;
CRS (Client Relationship Summary) - RIA
Click below to view Scott Albert Mitchem'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096RIA
CRD#: 105644
SCHAUMBURG, IL
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 5300 N Central Avenue Suite 110, Phoenix, AZ 85012BD
CRD#: 13572
PHOENIX, AZ
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
PHOENIX, AZ
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
PHOENIX, AZ
Past
August 21, 2002 - December 31, 2022
PK FINANCIAL STRATEGIES, LLC
RIA
CRD#: 116827
PHOENIX, AZ
Past
February 24, 2000 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
PHOENIX, AZ
Past
November 19, 1999 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
PHOENIX, AZ
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
Arizona(9/5/2025)
IAR
Arizona(9/5/2025)
RR
California(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
Exams
State Security Law 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
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.
