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Scott H. Shulman
CETERA INVESTMENT ADVISERS LLC
BOCA RATON, FL 33431
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CRD#: 4317005
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Professional summary
Scott Howard Shulman is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Boca Raton, Florida and CETERA FINANCIAL SPECIALISTS LLC located in Boca Raton, Florida.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Scott has worked at 4 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) NAME OF OTHER BUSINESS: SCOTT SHULMAN, CPA, P.A.; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: ACCOUNTING, AUDITING AND TAXES; START DATE: 1/2021; POSITION/TITLE/RELATIONSHIP: OWNER/CPA; APX NUMBER OF HOURS PER WEEK: UP TO 50; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: PREPARE AUDITS, ACCOUNTING AND TAX RETURNS; 2) SELLING HEALTH INSURANCE, SINCE 10/2008: 3)ROTARY CLUB OF PLANTATION; NON-INV REL; PLANTATION, FL; TREASURER; CHARITABLE ORGANIZATION; ACCOUNTING, COLLECTING DUES, PAYING BILLS; START DATE 7/2001; 4HRS/MNTH: 4)BROWARD BUSINESS NETWORK; NON-INV REL; TREASURER, NETWORKING GROUP COLLECTING DUES & PAYING BILLS; START DATE 7/2006; 2HRS/MNTH: 5) NAME OF OTHER BUSINESS: SHULMAN INVESTMENTS, LLC, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FAMILY INVESTMENTS, START DATE: 02/2022, POSITION/TITLE/RELATIONSHIP: MANAGING MEMBER, LESS THAN ONE HOUR PER WEEK, DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: LLC TO HOLD FAMILY SECURITIES INVESTMENTS;
CRS (Client Relationship Summary) - RIA
Click below to view Scott Howard Shulman'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
July 9, 2004 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 5550 Glades Rd Ste 500, Boca Raton, FL 33431RIA
CRD#: 105644
BOCA RATON, FL
Current
June 25, 2004 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 5550 Glades Rd Ste 500, Boca Raton, FL 33431BD
CRD#: 10358
Boca Raton, FL
Past
February 7, 2003 - November 1, 2004
HOCHMAN & BAKER INVESTMENT ADVISORY SERVICES, INC.
RIA
CRD#: 105560
PLANTATION, FL
Past
January 12, 2001 - September 15, 2004
HOCHMAN & BAKER SECURITIES, INC.
BD
CRD#: 19949
STAMFORD, CT
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
Florida(6/25/2004)
IAR
Florida(7/9/2004)
RR
Georgia(4/7/2005)
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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Boca Raton, FL 33431TRUST BUT VERIFY
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