Unclaimed
Scott Arthur Thomas is an investment advisor representative with Cetera Investment Advisers LLC. Scott is a registered investment advisor representative in California and Texas. Scott has been in the securities industry for over 25 years. He specializes in providing financial planning and portfolio management services to individuals, businesses, corporations, pension and profit-sharing plans, and charitable organizations.
NEWBURY PARK, CA
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.
1
2
CA
11/12/2020 - Present
Cetera Investment Advisers LLC (NEWBURY PARK CA)
CA
06/13/2014 - 09/08/2022
FIRST ALLIED SECURITIES, INC. (Westlake Village CA)
CA
05/27/2008 - 06/16/2014
WESTERN INTERNATIONAL SECURITIES, INC. (AGOURA HILLS CA)
CA
07/22/1997 - 06/20/2008
FINANCIAL WEST GROUP (WESTLAKE VILLAGE CA)
BOTH
Issued 8/18/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/24/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/1/2005
Series 7 - General Securities Representative Examination
BC
Issued 7/21/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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