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SS

Scott M. Spalding

CBRE CAPITAL ADVISORS
Los Angeles, CA 90017
Some features on this profile are disabled
CRD#: 4166736
SS

Professional summary

Scott Martin Spalding is a registered financial professional currently at CBRE CAPITAL ADVISORS, INC. located in Los Angeles, California.

Scott is registered as a RR (Registered Representative) and started their career in finance in 2000. Scott has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Scott Martin Spalding'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®
None

Experience

Current

January 16, 2019 - Present

CBRE CAPITAL ADVISORS, INC.

Office #1: 601 S Figueroa Street Suite 4900, Los Angeles, CA 90017
BD
CRD#: 140565
Los Angeles, CA
Past

April 13, 2018 - February 6, 2019

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
Los Angeles, CA
Past

February 14, 2011 - October 23, 2017

PIMCO INVESTMENTS LLC

BD
CRD#: 154957
NEWPORT BEACH, CA
Past

May 31, 2000 - February 14, 2011

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

BD
CRD#: 25567
NEWPORT BEACH, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
California
(1/16/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 7/3/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/29/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 10/10/2000
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 6
Date: 5/30/2000
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/16/2014
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CC
CBRE CAPITAL ADVISORS, INC.
CBRE CAPITAL ADVISORS, INC. | TRAMMELL CROW CAPITAL CORPORATION | SERA PRIVATE FUNDS GROUP | CBRE CAPITAL CORPORATION

CRD#: 140565 / SEC#: , 8-67319

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
2121 N. Pearl Street Suite 300, Dallas, TX 75201
Mailing Address
2121 N. Pearl Street Suite 300, Dallas, TX 75201
Phone number
(214) 863-4255
Established
Delaware since 12/15/2005
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (26 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CBRE, INC.SOLE OWNER
MATTERA, RICHARD JOSEPHFINOP, PPO, PFO2246513
POTTER, SCOTT CHRISTOPHERCFO/SECRETARY/CCO/PRESIDENT
SCOTT, JAMES EDWARDSBOARD OF DIRECTORS4217464

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.

Company Information

CBRE CAPITAL ADVISORS, INC.

CRD#: 140565Los Angeles, CA 90017

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