Scott Thomas is a registered investment advisor, based in Newbury Park, CA, with 28 years of industry experience.
Location
Newbury Park, CA
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Scott works as an independent contractor in the insurance industry, spending minimal time on this activity. He also operates St Wealth Management as a sole proprietor, dedicating full-time hours to this business.
Employment History
Current Registrations
Cetera Advisors LLCBroker
September 2022 - Present · 3 yrs 8 mos
Cetera Investment Advisers LLC
November 2020 - Present · 5 yrs 6 mos
Previous Registrations
First Allied Advisory Services, INC.
June 2014 - November 2020 · 6 yrs 5 mos
First Allied Securities, INC.Broker
June 2014 - September 2022 · 8 yrs 3 mos
Western International Securities
August 2010 - June 2014 · 3 yrs 10 mos
Western International Securities, INC.Broker
May 2008 - June 2014 · 6 yrs 1 mo
Financial West GroupBroker
July 1997 - June 2008 · 10 yrs 11 mos
State Registrations12 states
AZCACOHIIDMTNCNVORTNTXWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.