Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Alan Southworth is a financial professional with over 40 years of experience in the financial services industry. Scott has a broad range of experience and holds several licenses including Series 6, 7, 24, 63 and 65. Scott is currently registered with Cetera Investment Advisers LLC and is located in Durango, CO. Scott's previous experience includes roles at The Investment Center, Inc., BA Investment Services, Inc., Pacific Mutual Distributors, Inc., Phoenix Equity Planning Corporation, and Travelers Equities Sales, Inc. Scott provides financial planning, portfolio management for individuals and businesses, and pension consulting services to a variety of clients, including individuals, businesses, pension and profit-sharing plans, charitable organizations, and high-net-worth individuals.
DURANGO, CO
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
CO
06/29/2023 - Present
Cetera Investment Advisers LLC (DURANGO CO)
NJ
02/05/1999 - 03/01/1999
THE INVESTMENT CENTER, INC. (BEDMINSTER NJ)
CA
04/08/1997 - 12/08/1998
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
CA
10/06/1994 - 04/03/1996
PACIFIC MUTUAL DISTRIBUTORS, INC. (NEWPORT BEACH CA)
CT
01/27/1986 - 09/28/1994
PHOENIX EQUITY PLANNING CORPORATION (HARTFORD CT)
NA
02/17/1982 - 12/19/1985
TRAVELERS EQUITIES SALES, INC.
IA
Issued 8/21/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 6/13/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 6/2/1999
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/28/1994
Series 7 - General Securities Representative Examination
BC
Issued 11/13/1981
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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