Scott Vincent Babcock

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

• 01/2013 → Present
  Cetera Advisors Llc
  Denver, CO
• 01/2021 → Present
  Rpb Wealth Management, Inc
  Overland Park, KS
• 03/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 1997-12-30 → 2012-01-25
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Leawood, KS
  Leawood, KS

Other Businesses

1. FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED; ADDRESS IS THE REGISTERED LOCATION; FIXED INSURANCE; START 5/2015; 1 HOUR/WEEK; VARIES DURING TRADING AND NON-TRADING HOURS; INSURANCE AGENT; SELLS LIFE, DISABILITY, ANNUITIES, AND LONG TERM CARE. 2. NAME OF OTHER BUSINESS: SCOTT V. BABCOCK, INVESTMENT RELATED: NO, ADDRESS: SAME IS REGISTERED LOCATION, NATURE OF BUSINESS: CONSULTING ATTORNEYS ON FINANCIAL INDUSTRY, START DATE: 5/2016, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF TRADING HOURS PER WEEK: 1, POSITION/TITLE/RELATIONSHIP: CONSULTANT, BRIEF DESCRIPTION OF DUTIES: CONSULT ABOUT HOW ADVISERS DO THEIR JOB; 3. NAME OF OTHER BUSINESS: BEYOND CELIAC ; INVESTMENT RELATED: NO ADDRESS: 124 SOUTH MAPLE ST AMBER PA 19002 ; NATURE OF BUSINESS: NON-PROFIT FUNDRAISER ; START DATE: 05/2017 POSITION/TITLE/RELATIONSHIP: CO-CHAIR APX NUMBER OF HOURS PER WEEK: 4 ; APX NUMBER OF HOURS DURING TRADING HOURS: 4; BRIEF DESCRIPTION OF DUTIES: ADVISE ON THE EVENT AND COORDINATE THE PRODUCTION; 4.RPB WEALTH MANAGEMENT, INC, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 01/2021, OWNER, APX NUMBER OF HOURS PER WEEK: 40, 32.5 DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 5. NAME OF OTHER BUSINESS: VILLAS OF GRAYSON PLACE HOA; INVESTMENT RELATED: NO; ADDRESS:22207 W 121ST STREET OLATHE, KS 66061; NATURE OF BUSINESS: HOMEOWNERS ASSOCIATION; START DATE: 1/2022; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; BRIEF DESCRIPTION OF DUTIES: REPRESENT RESIDENTS FOR MAINTENANCE, COMMON AREAS AND FACILITY ISSUES ; 6. NAME OF OTHER BUSINESS: NA INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NOTARY SERVICES START DATE: 2/2008 POSITION/TITLE/RELATIONSHIP: NOTARY PUBLIC APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: PROVIDE NOTARY SERVICES

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-06-21
• S63 Uniform Securities Agent State Law Examination
  1991-11-06