Scott Lee Bazata

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2008 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Other Businesses

1. SALE OF FIXED INSURANCE (LIFE, HEALTH, DISABILITY, ANNUITIES, LONG-TERM CARE). 2. NAME OF OTHER BUSINESS: YELLOW LINE PRODUCTIONS INVESTMENT RELATED: NO ADDRESS: 4 PHEASANT RUN, AXTELL, NE 68924 NATURE OF BUSINESS: PAINTING PARKING LOTS START DATE: 11/05/12 APX NUMBER OF HOURS PER WEEK: 1 HOURS APX NUMBER OF HOURS DURING TRADING HOURS: N/A BRIEF DESCRIPTION OF DUTIES: SELF-EMPLOYED, SOLE PROP 3. BAZATA WEALTH MANAGEMENT GROUP, LLC INVESTMENT RELATED SAME AS REGISTERED LOCATION FINANCIAL SERVICES STARTED 2008 REGISTERED REPRESENTATIVE APX 40 HOURS PER WEEK, DURING TRADING HOURS DBA FOR FINANCIAL SERVICES 4. NAME OF OTHER BUSINESS: FORT KEARNY OUTDOOR EXPO ADVISORY BOARD INVESTMENT RELATED: NO ADDRESS: 1617 1ST AVE. KEARNEY, NE 68847 NATURE OF BUSINESS: OUTDOOR EXPO (OUTDOOR LIFESTYLE, HUNTING, FISHING, CAMPING, BIOLOGY, ETC.) START DATE: 01/01/2016 POSITION/TITLE/RELATIONSHIP: BOARD MEMBER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: ATTEND MONTHLY MEETINGS TO HELP ORGANIZE EVENTS AND MAKE SURE THEY OPERATE SMOOTHLY. 5.NAME OF OTHER BUSINESS: BAZATA RETIREMENT INCOME PLANS LLC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: LLC FOR TAX PURPOSES START DATE: 12/2017 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 POSITION/TITLE/RELATIONSHIP: OWNER BRIEF DESCRIPTION OF DUTIES: REPRESENTATIVE 6. NAME OF OTHER BUSINESS: NOTARY PUBLIC COMMISSION; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: NOTARIZING DOCUMENTS ; START DATE: 01/2009; POSITION/TITLE/RELATIONSHIP: NOTARY ; APX NUMBER OF HOURS PER WEEK: LESS THAN 0 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 0 ; BRIEF DESCRIPTION OF DUTIES: NOTARIZING DOCUMENTS

Exams

• S66 Uniform Combined State Law Examination
  2008-07-09

Designations

• Chartered Financial Consultant