SE
Scott D. Ewing
CETERA INVESTMENT ADVISERS LLC
BRENTWOOD, TN 37027
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CRD#: 5088507
SE
Professional summary
Scott Douglas Ewing, AIF® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Brentwood, Tennessee and CETERA INVESTMENT SERVICES LLC located in Brentwood, Tennessee.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Scott has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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. MUSICIAN/OWNER OF BAND 2. OWNER/LANDLORD OF RENTAL PROPERTY
CRS (Client Relationship Summary) - RIA
Click below to view Scott Douglas Ewing'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®
Experience
Current
August 26, 2022 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 329 Franklin Rd, Brentwood, TN 37027RIA
CRD#: 105644
BRENTWOOD, TN
Current
August 25, 2022 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 329 Franklin Rd, Brentwood, TN 37027BD
CRD#: 15340
Brentwood, TN
Past
July 31, 2017 - August 25, 2022
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
BRENTWOOD, TN
Past
July 31, 2017 - August 25, 2022
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
BRENTWOOD, TN
Past
February 26, 2014 - August 1, 2017
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
MURFREESBORO, TN
Past
March 12, 2012 - August 1, 2017
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
MURFREESBORO, TN
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(8/25/2022)
RR
Arizona(5/2/2024)
RR
Arkansas(11/7/2022)
RR
Colorado(8/25/2022)
RR
Connecticut(8/25/2022)
RR
District of Columbia(3/6/2023)
RR
Florida(8/25/2022)
RR
Georgia(12/6/2023)
RR
Hawaii(8/25/2022)
RR
Idaho(10/8/2025)
RR
Illinois(8/25/2022)
RR
Indiana(8/25/2022)
RR
Kentucky(8/25/2022)
RR
Louisiana(8/25/2022)
RR
Maryland(8/25/2022)
RR
Massachusetts(5/3/2023)
RR
Michigan(8/25/2022)
RR
Minnesota(8/25/2022)
RR
Missouri(8/25/2022)
RR
Montana(8/25/2022)
RR
New Hampshire(8/25/2022)
RR
New Jersey(12/16/2022)
RR
New Mexico(8/25/2022)
RR
New York(3/26/2024)
RR
North Carolina(8/25/2022)
RR
Ohio(8/26/2022)
RR
South Carolina(8/25/2022)
RR
Tennessee(8/26/2022)
IAR
Tennessee(8/26/2022)
RR
Texas(8/25/2022)
IAR
Texas(8/26/2022)
RR
Virginia(8/25/2022)
RR
Washington(11/25/2022)
RR
West Virginia(6/11/2024)
Exams
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
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.
