Scott William Lay

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

• 09/2013 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2010-01-22 → 2013-12-17
  Paramount Financial Llc
  St. Louis, MO
• 2010-12-10 → 2013-09-03
  Walnut Street Securities, Inc.
  St Louis, MO
  St Louis, MO
  Bridgeton, MO
  St. Charles, MO
  O'FAllon, MO
  St. Peters, MO
  St. Louis, MO
  St. Louis, MO
• 2003-12-11 → 2008-12-31
  Paramount Financial Llc
  St. Louis, MO

Other Businesses

1. INDEPENDENT INSURANCE AGENT, (FIXED ANNUITIES, LIFE/ACCIDENT/HEALTH, LONG-TERM CARE), 15 SECURITIES TRADING HOURS WEEKLY, 0 NON SECURITIES TRADING HOURS WEEKLY, START DATE 9/1995; 2. SWLAY FINANCIAL GROUP LLC, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, DBA NAME FOR SECURITIES BUSINESS, START 09/01/2013, >40HRS/WK (32.5 TRADING HOURS), PRESIDENT/OWNER, FINANCIAL ADVISOR;

Exams

• S65 Uniform Investment Adviser Law Examination
  2003-10-23
• S63 Uniform Securities Agent State Law Examination
  1996-01-03