Scott E Grooms

Current Employers

Employment History

• 02/2004 → 12/2020
  Lpl Financial, Llc
  Mill Valley, CA
• 06/2026 → Present
  Mercer Global Advisors, Inc.
  Heber City, UT
• 03/2016 → 12/2020
  Strategic Wealth Advisors Group
  Mill Valley, CA
• 12/2020 → 06/2026
  Cwm, Dba Carson Partners
  Mii Valley, CA
• 12/2020 → 06/2026
  Gwm, Llc
  Mill Valley, CA
• 11/2020 → 06/2026
  Tgdiavgw, Inc
  Stinson Beach, CA
• 11/2020 → Present
  Rental Property
  Stinson Beach, CA
• 12/2020 → 06/2026
  Cetera Wealth Services, Llc
  El Segunndo, CA
• 12/2020 → Present
  Grooms Wealth Management, Inc. (Gwm, Inc.)
  Mill Valley, CA
• 06/2023 → 06/2026
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 07/2023 → Present
  Total Global Logistical Solutions, Inc.
  Mill Valley, CA

Previous Registrations

• 2020-12-18 → 2026-06-02
  Cwm, Llc
  Heber, UT
  Omaha, NE
  Mill Valley, CA
  Mill Valley, CA
• 2023-06-29 → 2026-01-27
  Cetera Investment Advisers Llc
  Mill Valley, CA
  Mill Valley, CA
• 2020-12-18 → 2023-06-29
  Cetera Wealth Services, Llc
  Mill Valley, CA
  Atlanta, GA
  Mill Valley, CA
  Mill Valley, CA
• 2016-07-07 → 2021-01-04
  Mariner Advisor Network
  Mill Valley, CA
• 2004-02-27 → 2017-03-10
  Lpl Financial Llc
  Mill Valley, CA
• 2016-03-03 → 2016-07-07
  Strategic Wealth Advisors Group
  Mill Valley, CA
• 2003-09-02 → 2003-12-01
  Banc Of America Investment Services, Inc.
  Mill Valley, CA
• 1998-03-30 → 2003-09-12
  Citigroup Global Markets Inc.
  San Francisco, CA

Other Businesses

1. NAME OF OTHER BUSINESS: HOLDS ACTIVE INSURANCE LICENSES INVESTMENT RELATED: YES ADDRESS: HEBER CITY, UT NATURE OF BUSINESS: FIXED INSURANCE START DATE: 3/2001 APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 5 POSITION/TITLE/RELATIONSHIP: HOLDS ACTIVE INSURANCE LICENSES BRIEF DESCRIPTION OF DUTIES: HOLDS LIFE, HEALTH, DISABILITY, ANNUITY, AND LONG-TERM CARE INSURANCE LICENSES. 2. NAME OF OTHER BUSINESS: RENTAL PROPERTY INVESTMENT RELATED: NO ADDRESS: STINSON BEACH, CA NATURE OF BUSINESS: RENTAL HOME START DATE: 11/2020 POSITION/TITLE/RELATIONSHIP: HOMEOWNER APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: I RENT OUT A HOME AND AM RESPONSIBLE FOR UPKEEP, MAINTENANCE, ETC; 3. NAME OF OTHER BUSINESS: GROOMS WEALTH MANAGEMENT, INC. (GWM, INC.) INVESTMENT RELATED: NO; ADDRESS: HEBER CITY, UT NATURE OF BUSINESS: EXPENSE MANAGEMENT; START DATE: 12/2020; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: FOR PERSONAL AND BUSINESS ASSETS FOR OPERATIONAL & TAX PURPOSES; 4. NAME OF OTHER BUSINESS: TOTAL GLOBAL LOGISTICAL SOLUTIONS, INC.; INVESTMENT RELATED: NO; ADDRESS: HEBER CITY, UT NATURE OF BUSINESS: LOGISTICS MANAGEMENT COMPANY FOR PERSONAL & FAMILY OFFICE BUSINESS ASSETS; START: 7/2023; TITLE: OWNER; APX # OF HRS/WK & DUR TRD HRS: 5; DUTIES: SECURE RENTAL & LEASE TERMS & LOGISTICS AS WELL AS SOURCING/MANAGING MAINTENANCE SUBCONTRACTORS FOR OUR RENTAL REAL ESTATE INVESTMENTS;

Exams

• S65 Uniform Investment Adviser Law Examination
  2001-01-19
• S63 Uniform Securities Agent State Law Examination
  1991-02-22

Designations