SC
Scott A. Clauson
Some features on this profile are disabled
CRD#: 7517989
SC
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Scott Alan Clauson, who also goes by Scott Clauson, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2022. Scott had worked at 3 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Scott Clauson
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: CITY OF PHOENIX CITY COUNCIL; INVESTMENT RELATED: NO; ADDRESS: 220 N MAIN STREET, PHOENIX, OR 97535; NATURE OF BUSINESS: CITY COUNCIL / GOVERNANCE; START DATE: 11/2022; POSITION/TITLE/RELATIONSHIP: CITY COUNCIL ELECTED POSITION; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: VOTE ON ISSUES PERTAINING TO REGULATIONS, LAND USE, AND GOAL SETTING FOR THE CITY. SOME REVIEW OF THE BUDGET IS NECESSARY HOWEVER THIS POSITION DOES NOT DIRECT DAY-TO-DAY FINANCIAL MATTERS RELATED TO THE CITY; 2. NAME OF OTHER BUSINESS: HIRING CONSULTANT-BACKGROUND INVESTIGATOR INVESTMENT RELATED: NO; ADDRESS: 708 W 1ST STREET, PHOENIX, OR 97535; NATURE OF BUSINESS: 911 CALL-TAKING AND DISPATCHING SERVICES; START DATE: 02/2023; POSITION/TITLE/RELATIONSHIP: HIRING CONSULTANT-BACKGROUND INVESTIGATOR APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: REVIEWING APPLICATIONS OF CANDIDATES WHO HAVE PASSED THE INTERVIEW PHASE OF HIRING FOR 911 DISPATCHER POSITIONS. THE CANDIDATE IS INTERVIEWED, AND REFERENCES ARE CONTACTED TO DETERMINE IF THEY ARE A PERSON OF CHARACTER; 3. NAME OF OTHER BUSINESS: PIONEER WEALTH ADVISORS INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 03/2023; POSITION/TITLE/RELATIONSHIP: WEALTH ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: PROVIDE INVESTMENT ADVICE TO CLIENTS SEEKING A FINANCIAL PLAN AS WELL AS GROWTH AND PRESERVATION OF ASSETS; 4. NAME OF OTHER BUSINESS: INTEGRITY GUARDIAN SERVICES; INVESTMENT RELATED: NO; ADDRESS: P O BOX 1212 MEDFORD, OR 97501; NATURE OF BUSINESS: PROFESSIONAL GUARDIANS; START DATE: 04/2024; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: GUARDIANS ASSIGNED BY THE STATE TO PROTECT MONITOR INIVIDUALS WHO CAN NO LONGER CARE FOR THEMSELVES, ADVOCATE;
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
June 29, 2023 - January 17, 2025
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
JACKSONVILLE, OR
Past
March 27, 2023 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
JACKSONVILLE, OR
Past
March 27, 2023 - January 17, 2025
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
JACKSONVILLE, OR
Past
October 31, 2022 - February 28, 2023
MONEY CONCEPTS CAPITAL CORP
BD
CRD#: 12963
Medford, OR
Past
April 18, 2022 - February 28, 2023
MONEY CONCEPTS CAPITAL CORP
RIA
CRD#: 12963
Medford, OR
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/31/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
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
Registered Investment Advisory firm - (1/13/1984 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
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.
