SH
Scott B. Hoxie
CETERA INVESTMENT ADVISERS LLC
SAN DIEGO, CA 92101
Some features on this profile are disabled
CRD#: 5107524
SH
Professional summary
Scott Barrett Hoxie is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in San Diego, California and CETERA ADVISORS LLC located in San Diego, California.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Scott has worked at 5 firms and has passed the Series 66, Series 52TO, SIE, Series 50, Series 7, Series 53, Series 4 and Series 24 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.
PACIFIC PSYCHOLOGY CENTER; BOARD MEMBER; NON-PROFIT ORGANIZATION; START DATE 01/01/2015; 4 HOURS PER MONTH.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Barrett Hoxie'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
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101RIA
CRD#: 105644
SAN DIEGO, CA
Current
April 2, 2020 - Present
CETERA ADVISORS LLC
Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101BD
CRD#: 10299
SAN DIEGO, CA
Past
January 20, 2022 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
RENO, NV
Past
November 6, 2013 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
SAN DIEGO, CA
Past
November 5, 2013 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
HARLINGEN, TX
Past
March 24, 2008 - November 12, 2013
LPL FINANCIAL LLC
RIA
CRD#: 6413
SAN DIEGO, CA
Past
July 16, 2007 - November 12, 2013
LPL FINANCIAL LLC
BD
CRD#: 6413
SAN DIEGO, CA
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(1/20/2022)
RR
Alaska(1/20/2022)
RR
Arizona(1/20/2022)
RR
Arkansas(1/20/2022)
IAR
California(11/12/2020)
RR
California(1/20/2022)
RR
Colorado(1/20/2022)
RR
Connecticut(1/20/2022)
RR
Delaware(1/20/2022)
RR
District of Columbia(1/20/2022)
RR
Florida(1/20/2022)
RR
Georgia(1/20/2022)
RR
Hawaii(1/20/2022)
RR
Idaho(1/20/2022)
RR
Illinois(1/20/2022)
RR
Indiana(9/8/2022)
RR
Iowa(1/20/2022)
RR
Kansas(1/20/2022)
RR
Kentucky(1/20/2022)
RR
Louisiana(1/20/2022)
RR
Maine(1/20/2022)
RR
Maryland(1/20/2022)
RR
Massachusetts(9/8/2022)
RR
Michigan(1/20/2022)
RR
Minnesota(1/20/2022)
RR
Mississippi(1/20/2022)
RR
Missouri(1/20/2022)
RR
Montana(1/20/2022)
RR
Nebraska(1/27/2022)
RR
Nevada(9/8/2022)
IAR
Nevada(5/30/2025)
RR
New Hampshire(1/20/2022)
RR
New Jersey(1/20/2022)
RR
New Mexico(1/20/2022)
RR
New York(1/20/2022)
RR
North Carolina(9/8/2022)
RR
North Dakota(1/20/2022)
RR
Ohio(1/20/2022)
RR
Oklahoma(1/20/2022)
RR
Oregon(1/25/2022)
RR
Pennsylvania(1/26/2022)
RR
Puerto Rico(1/20/2022)
RR
Rhode Island(1/20/2022)
RR
South Carolina(1/20/2022)
RR
South Dakota(1/20/2022)
RR
Tennessee(1/20/2022)
RR
Texas(1/20/2022)
IAR
Texas(11/3/2022)
RR
Utah(1/25/2022)
RR
Vermont(1/20/2022)
RR
Virgin Islands(1/20/2022)
RR
Virginia(1/25/2022)
RR
Washington(1/20/2022)
RR
West Virginia(2/10/2022)
RR
Wisconsin(1/20/2022)
RR
Wyoming(1/20/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
