Scott Judd Faye

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2023-06-29
TX	RA	APPROVED_RES	2023-06-29

NY RA
APPROVED

Since 2023-06-29
TX RA
APPROVED_RES

Since 2023-06-29

Branch Locations

120 White Plains Rd Suite 125, Tarrytown, NY 10591 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Scott J Faye Cpa Pc	Suffern	NY	11/1991	Present
Cetera Wealth Services, Llc	El Segundo	CA	09/2013	Present
Cetera Investment Advisers Llc	Schaumburg	IL	06/2023	Present

11/1991 → Present

Scott J Faye Cpa Pc

Suffern, NY
09/2013 → Present

Cetera Wealth Services, Llc

El Segundo, CA
06/2023 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Other Businesses

TAX PREPARER UNDER SCOTT J FAYE CPA PC 40 WEEKDAY HOURS STARTED 09/1991. OWNER OF RENTAL PROPERTY 1 WEEKDAY AND 0 EVENING/WEEKEND HOURS STARTED 02/1993

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2000-05-10
S63	Uniform Securities Agent State Law Examination	1999-10-07

S66 Uniform Combined State Law Examination

2000-05-10
S63 Uniform Securities Agent State Law Examination

1999-10-07

Designations

Personal Financial Specialist

Other Names

Scott J Faye

View on SEC IAPD