Samuel S. Alexander
CETERA INVESTMENT ADVISERS LLC
OMAHA, NE 68114
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CRD#: 5074769
Professional summary
Samuel Scott Alexander, CFP®, who also goes by Scott Alexander, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Omaha, Nebraska and CETERA ADVISORS LLC located in Omaha, Nebraska.
Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Samuel has worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Scott Alexander
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: ILLUMINATE FINANCIAL GROUP, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE06/2022, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 60, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES 2) ALEXANDER FAMILY LLC POSITION: Passive Investor NATURE: FAMILY POOLED MONEY FOR INVESTMENT PURPOSES. NO ACTIVE DUTIES OR RESPONSIBILITIES. MEMBER, STARTED 03/06/2006, 0 HOURS SPENT PER MONTH. PASSIVE INVESTOR, NO ACTIVE DUTIES. INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/06/2006 ADDRESS: 3140 SW 15th St, Topeka KS 66604, United States DESCRIPTION: No active duties, passive investor 3) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 12/2023; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 4) NAME OF OTHER BUSINESS: FORESTERS FINANCIAL ; INVESTMENT RELATED: NO; ADDRESS: 2221 KENMORE AVE STE 108 BUFFALO, NY 14207; NATURE OF BUSINESS: INSURANCE SERVICES; START DATE: 07/2022; POSITION/TITLE/RELATIONSHIP: AGENT; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: SELL AND SERVICE INSURANCE PRODUCTS; 5) NAME OF OTHER BUSINESS: BARRINGTON PARK HOME OWNERS ASSOCIATION ; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: HOMEOWNERS ASSOCIATION; START DATE: 10/2022; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: HOMEOWNERS ASSOCIATION BOARD; 6) NAME OF OTHER BUSINESS: ACCESS WEALTH LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: HOLDING COMPANY; START DATE: 11/2022; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 50; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: OPERATE HOLDING COMPANY; CORPORATE SHAREHOLDER OF ILLUMINATE FINANCIAL GROUP; 7) NAME OF OTHER BUSINESS: CHILD SAVING INSTITUTE; INVESTMENT RELATED: NO; ADDRESS: 4545 DODGE ST OMAHA, NE 68132; NATURE OF BUSINESS:NON PROFIT; START DATE: 01/2024; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: SERVING ON BOARD OF DIRECTORS;
CRS (Client Relationship Summary) - RIA
Click below to view Samuel Scott Alexander'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®
CFP®
Start date: 2018
Experience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 9290 W Dodge Rd Ste 200, Omaha, NE 68114RIA
CRD#: 105644
OMAHA, NE
Current
June 22, 2022 - Present
CETERA ADVISORS LLC
Office #1: 9290 W Dodge Rd Ste 200, Omaha, NE 68114BD
CRD#: 10299
Omaha, NE
Past
June 22, 2022 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
August 3, 2021 - June 2, 2022
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
OMAHA, NE
Past
August 3, 2021 - June 2, 2022
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OMAHA, NE
Past
July 11, 2007 - January 14, 2021
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
BD
CRD#: 40178
DENVER, CO
Past
January 5, 2007 - June 11, 2007
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
DENVER, CO
Past
January 12, 2006 - June 11, 2007
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
DENVER, CO
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
Alabama(6/23/2023)
RR
Arizona(6/22/2022)
RR
California(8/11/2022)
RR
Colorado(6/22/2022)
RR
Connecticut(8/11/2022)
RR
Florida(6/22/2022)
RR
Georgia(2/8/2023)
RR
Idaho(1/9/2023)
RR
Illinois(6/22/2022)
RR
Indiana(1/9/2023)
RR
Iowa(6/22/2022)
RR
Kansas(6/22/2022)
RR
Kentucky(5/8/2025)
RR
Louisiana(8/4/2025)
RR
Maine(3/1/2024)
RR
Michigan(8/11/2022)
RR
Minnesota(1/4/2023)
RR
Missouri(6/22/2022)
RR
Nebraska(6/22/2022)
IAR
Nebraska(3/21/2024)
RR
Nevada(5/8/2025)
RR
New Jersey(1/9/2023)
RR
New Mexico(1/9/2023)
RR
New York(8/11/2022)
RR
North Carolina(8/12/2022)
RR
Ohio(6/23/2022)
RR
Oklahoma(5/30/2023)
RR
Oregon(5/30/2023)
RR
Pennsylvania(11/14/2023)
RR
South Carolina(8/11/2022)
RR
Texas(6/22/2022)
IAR
Texas(3/21/2024)
RR
Virginia(1/3/2024)
RR
Washington(1/17/2023)
RR
Wisconsin(5/30/2023)
RR
Wyoming(1/9/2023)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Omaha, NE 68114TRUST BUT VERIFY
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