JS
James R. Scattergood
CETERA INVESTMENT ADVISERS LLC
EDINA, MN 55435
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CRD#: 4821114
JS
Professional summary
James Roderick Scattergood is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Edina, Minnesota and CETERA INVESTMENT SERVICES LLC located in Preston, Minnesota.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. James has worked at 5 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 24 and Series 27 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.)MANAGING PARTNER FOR WEST SHORE BROKERAGE LLC; PASS THROUGH COMPANY FOR CETERA INVESTMENT SERVICES.
CRS (Client Relationship Summary) - RIA
Click below to view James Roderick Scattergood'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
January 21, 2014 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 4948 Poppy Lane, Edina, MN 55435RIA
CRD#: 105644
EDINA, MN
Current
January 29, 2010 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 100 St. Anthony Street North, Preston, MN 55965Office #2: 400 1st St S Ste 300, St Cloud, MN 56301Office #3: 5100 Thimsen Ave Ste 228, Minnetonka, MN 55345Office #4: 601 Washington Avenue, Iowa Falls, IA 50126Office #5: 316 Byron Avenue North, Byron, MN 55920Office #6: 105 Lake Avenue, Fairmont, MN 56031Office #7: 1080 W Frontage Road, Owatonna, MN 55060Office #8: 414 N 5th Avenue East, Truman, MN 56088Office #9: 4401 Mormon Coulee Rd, La Crosse, WI 54601Office #10: 1610 East Hwy 12, Willmar, MN 56201Office #11: 7101 Washington Avenue, Edina, MN 55439Office #12: 26171 Highway 27, Pierz, MN 56364Office #13: 1503 4th Street Sw, Waverly, IA 50677Office #14: 210 Main Avenue, Red Lake Falls, MN 56750Office #15: 1180 West 4th Street, Rush City, MN 55069Office #16: 15 East Main Street, Crosby, MN 56441Office #18: 421 1st Ave Sw; Suite 300 East, Rochester, MN 55902Office #19: 1000 Industrial Dr, Spring Valley, MN 55975Office #20: 1820 W Frontage Rd Hwy 52 Nw, Rochester, MN 55901BD
CRD#: 15340
Preston, MN
Past
February 2, 2011 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
COLERAINE, MN
Past
January 28, 2008 - February 15, 2008
IFMG SECURITIES, INC.
BD
CRD#: 14416
MINNEAPOLIS, MN
Past
January 24, 2008 - December 1, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
MINNEAPOLIS, MN
Past
December 13, 2006 - January 8, 2008
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
December 3, 2004 - December 31, 2006
TCF INVESTMENTS, INC.
BD
CRD#: 34954
MINNEAPOLIS, MN
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(3/16/2020)
RR
Georgia(3/16/2020)
RR
Minnesota(2/2/2011)
IAR
Minnesota(1/21/2014)
RR
North Dakota(3/16/2020)
RR
Wisconsin(3/16/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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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.
