Scott C. Pospisil

CETERA INVESTMENT ADVISERS LLC

HOOVER, AL 35244

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CRD#: 4241768

Professional summary

Scott Charles Pospisil, who also goes by Scott Charles Pospisi, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Hoover, Alabama and CETERA INVESTMENT SERVICES LLC located in Hoover, Alabama.

Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Scott has worked at 8 firms and has passed the Series 66, Series 63, Series 99TO, Series 57TO, SIE, Series 7, Series 55, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Scott Charles Pospisi

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) - RIA

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

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

November 18, 2021 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1849 Montgomery Hwy S, Hoover, AL 35244

RIA

CRD#: 105644

HOOVER, AL

Current

November 18, 2021 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 1849 Montgomery Hwy S, Hoover, AL 35244

CRD#: 15340

Hoover, AL

Past

August 28, 2019 - November 16, 2021

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

NAPERVILLE, IL

Past

August 28, 2019 - November 16, 2021

FIFTH THIRD SECURITIES, INC.

CRD#: 628

NAPERVILLE, IL

Past

November 29, 2016 - July 23, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

ROLLING MEADOWS, IL

Past

July 27, 2016 - July 23, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

ROLLING MEADOWS, IL

Past

April 14, 2016 - July 19, 2016

TD AMERITRADE, INC.

CRD#: 7870

CHICAGO, IL

Past

January 4, 2010 - December 16, 2015

PWMCO, LLC

CRD#: 8485

CHICAGO, IL

Past

May 13, 2004 - December 16, 2009

DASH PRIME LLC

CRD#: 41257

CHICAGO, IL

Past

March 25, 2002 - January 2, 2004

APEX CLEARING CORPORATION

CRD#: 13071

DALLAS, TX

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Alabama
(11/18/2021)

IAR

Alabama
(11/18/2021)

Arizona
(3/16/2023)

Florida
(7/12/2023)

Georgia
(3/6/2023)

Illinois
(1/26/2023)

Kentucky
(4/4/2024)

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

State Security Law Exam

IAR

Series 66

Date: 11/28/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/13/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/22/2002

General Securities Representative Examination

General Industry/Product Exam

Series 55

Date: 2/13/2002

Limited Representative-Equity Trader Exam

Principal/Supervisory Exam

Series 4

Date: 6/1/2011

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/13/2009

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Scott C. Pospisil

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

TD AMERITRADE, INC.

PWMCO, LLC

DASH PRIME LLC

APEX CLEARING CORPORATION

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/28/2016

Series 63

Date: 9/13/2002

Series 99TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/22/2002

Series 55

Date: 2/13/2002

Series 4

Date: 6/1/2011

Series 24

Date: 12/13/2009

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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