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Reginald Scott Findley

Cetera Investment Advisers LLC

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About Reginald Scott Findley

Reginald Findley is a financial advisor with Cetera Investment Advisers LLC. Reginald has been in the financial services industry since November 24, 2000. Reginald has passed the Series 7, Series 63, and SIE exams. Reginald is registered to provide investment advice in California and Nevada. Reginald is also a Certified Financial Planner. Reginald is a CPA and runs a separate accounting and tax practice.

Firm Information

Reginald Findley is currently registered with Cetera Investment Advisers LLC. Cetera Investment Advisers LLC is a financial services firm headquartered in Schaumburg, Illinois. The firm offers a wide range of financial planning and investment advisory services to individuals, corporations, pension plans, and charitable organizations. Cetera manages over $104 billion in assets for clients. The firm has a large network of licensed financial advisors and investment advisory representatives, serving over 423,000 clients across the country.
Cetera Investment Advisers LLC

1450 AMERICAN LANE

SCHAUMBURG, IL 60173-2096

$104.47B

Assets Under Management

16,618

Total Clients

7,280

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Reginald Findley’s Registration & Firm History

CA

07/02/2004 - Present

Cetera Investment Advisers LLC (DINUBA CA)

CT

11/24/2000 - 06/30/2004

HOCHMAN & BAKER SECURITIES, INC. (STAMFORD CT)

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Licenses & Designations

BC

Issued 12/13/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/22/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Reginald Scott Findley.
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