Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott E. Grooms is a financial advisor based in Mill Valley, CA. Scott has been in the industry since 1990 and is currently registered with Cetera Investment Advisers LLC and CWM, LLC. Scott is a Certified Financial Planner and has experience providing portfolio management, financial planning, and estate planning. Scott is also registered in multiple states and offers services including financial planning, investment management, and advisory services.
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
CA
06/29/2023 - Present
Cetera Investment Advisers LLC (Mill Valley CA)
CA
03/03/2004 - 12/21/2020
LPL FINANCIAL LLC (MILL VALLEY CA)
MA
09/02/2003 - 12/01/2003
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NY
03/23/1998 - 09/12/2003
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
03/22/1993 - 04/08/1998
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
TX
01/31/1990 - 03/02/1993
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
IA
Issued 01/19/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/22/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/02/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/20/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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