SS
Scott A. Sandefur
BROOKSTONE WEALTH ADVISORS
LONG BEACH, CA 90802
Some features on this profile are disabled
CRD#: 5239209
SS
Professional summary
Scott A. Sandefur, who also goes by Scott Sandefur, is a registered financial advisor currently at BROOKSTONE WEALTH ADVISORS, LLC located in Long Beach, California.
Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Scott has worked at 3 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Scott Sandefur
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) Platinum Wealth Advisors; investment related, 9595 Wilshire Blvd, Suite 900, Beverly Hills CA, 90212, DBA for IA Business, Employee, Started 07/2017, 145 hrs/ month 145 during trading, Duties include retirement planning and consulting (2) PLATINUM LIFE FINANCIAL AND INVESTMENTS; INVESTMENT RELATED; 9595 Wilshire Blvd, Suite 900, Beverly Hills CA, 90212; INSURANCE SALES; AGENT; STARTED 06/2017; 16 HOURS/MONTH DEVOTED; 16 HOURS/MONTH DEVOTED DURING SECURITIES TRADING HOURS; INDEPENDENT SALE OF LIFE AND HEALTH INSURANCE PRODUCTS. (3) American Retirement Education Services/ Retire123, investment related, 9595 Wilshire Blvd, Suite 900, Beverly Hills CA, 90212, investment education, Employee, 04/2018, 20 hrs/month (zero during trading hours), lesson planning and lecturing
CRS (Client Relationship Summary) - RIA
Click below to view Scott A. Sandefur'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
February 1, 2018 - Present
BROOKSTONE WEALTH ADVISORS, LLC
Office #1: 100 Oceangate Suite 1200, Long Beach, CA 90802Office #2: 1500 Rosecrans Ave. Ste 500, Manhattan Beach, CA 90266Office #3: 3780 Kilroy Airport Way, Ste. 200, Long Beach, CA 90806Office #4: 9595 Wilshire Blvd. 9th Floor, Beverly Hills, CA 90212Office #5: 19200 Von Karman Avenue Suite 210, Irvine, CA 92612Office #6: 400 Corporate Pointe Suite 300, Culver City, CA 90230RIA
CRD#: 137658
LONG BEACH, CA
Past
June 1, 2009 - November 9, 2009
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
HERMOSA BEACH, CA
Past
August 13, 2008 - November 9, 2009
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
May 20, 2008 - August 13, 2008
PENSION PLANNERS SECURITIES, INC.
BD
CRD#: 14068
SACRAMENTO, 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".
BW
BROOKSTONE WEALTH ADVISORS, LLC
BROOKSTONE WEALTH ADVISORS, LLC | RWA, INC | RETIREMENT WEALTH ADVISORS, LLC | RETIREMENT WEALTH ADVISORS, INC. | RETIREMENT RESOURCES | FORMULAFOLIO INVESTMENT STRATEGIES
CRD#: 137658 / SEC#: 801-67628
RIA
Registered Investment Advisory firm - (3/16/2007 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.Highlighted states indicate IAR registrations
IAR
California(2/1/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
BW
BROOKSTONE WEALTH ADVISORS, LLC
BROOKSTONE WEALTH ADVISORS, LLC | RWA, INC | RETIREMENT WEALTH ADVISORS, LLC | RETIREMENT WEALTH ADVISORS, INC. | RETIREMENT RESOURCES | FORMULAFOLIO INVESTMENT STRATEGIES
CRD#: 137658 / SEC#: 801-67628
RIA
Registered Investment Advisory firm - (3/16/2007 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1745 S Naperville Rd Suite 200, Wheaton, IL 60189
Mailing Address
Phone number
(630) 653-1400
Established
Firm type
Fiscal year end
# of Employees
244
SEC notice filing (52 States and Territories)
Documents
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.
