Scott Eric Holstein

Employer firm

Vicus Capital, Inc. CRD 116021

$2.99B regulatory AUM 316 advisory clients

Reported services (Item 5G)

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

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

Current Employers

Vicus Capital, Inc.

476 Rolling Ridge Drive Suite 315, State College, PA 16801 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2024-10-09
FL	RA	APPROVED	2022-02-16
PA	RA	APPROVED	2011-11-10

TX RA
APPROVED

Since 2024-10-09
FL RA
APPROVED

Since 2022-02-16
PA RA
APPROVED

Since 2011-11-10

Branch Locations

301 York Road Suite 200, Warminster, PA 18974 • United States

Cetera Investment Advisers Llc

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

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2023-06-29
TX	RA	APPROVED	2023-06-29

PA RA
APPROVED

Since 2023-06-29
TX RA
APPROVED

Since 2023-06-29

Branch Locations

Yardley, PA • United States

301 York Rd Ste 200, Warminster, PA 18974 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
Vicus Capital, Inc. (Formerly Pfg Financial Advisors)	State College	PA	11/2011	Present
Cetera Wealth Services, Llc	El Segundo	CA	09/2013	Present
American Brokerage Service	Wyndmoor	PA	05/2017	Present
Fixed Insurance With Various Other Companies	Warminster	PA	05/2017	Present
Cetera Investment Advisers Llc	Schaumburg	IL	06/2023	Present

11/2011 → Present

Vicus Capital, Inc. (Formerly Pfg Financial Advisors)

State College, PA
09/2013 → Present

Cetera Wealth Services, Llc

El Segundo, CA
05/2017 → Present

American Brokerage Service

Wyndmoor, PA
05/2017 → Present

Fixed Insurance With Various Other Companies

Warminster, PA
06/2023 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Previous Registrations

2007-07-23 → 2013-09-03

Walnut Street Securities, Inc.

Feasterville, PA
2001-10-15 → 2003-01-24

Nathan & Lewis Securities, Inc.

Feasterville, PA

Other Businesses

1. SCOTT E. HOLSTEIN, NOT INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, CPA/TAX PROFESSIONAL, START 12/01/1997, 0HRS/WK (NON-TRADING HOURS), NON-PRACTICING CPA; 2. VICUS CAPITAL, INC., INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, OUTSIDE RIA - ADVISORY BUSINESS, START 11/2011, 6HRS/WK (5 TRADING HOURS), INVESTMENT ADVISOR REPRESENTATIVE; 3. PRUDENT WEALTH MANAGEMENT, INC., INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, DBA NAME FOR SECURITIES/ADVISORY/INSURANCE BUSINESS, START 2001, 40HRS/WK (32.5 TRADING HOURS), REGISTERED REPRESENTATIVE, INVESTMENT ADVISOR REPRESENTATIVE, INSURANCE AGENT; 4.NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION START DATE: 5/2017 NATURE OF BUSINESS: FIXED INSURANCE APX # OF HOURS PER WEEK: 40 APX # OF HOURS DURING TRADING HOURS: 32.5 POSITION/TITLE/RELATIONSHIP: AGENT DUTIES: GENERAL DUTIES: SELLING INDEXED ANNUITIES 5.NAME OF OTHER BUSINESS: AMERICAN BROKERAGE SERVICE INVESTMENT RELATED: YES ADDRESS: 803 E. WILLOW GROVE AVE STE 2B WYNDMOOR PA 19038 START DATE: 5/2017 NATURE OF BUSINESS: INDEXED ANNUITIES APX # OF HOURS PER WEEK: 8 APX # OF HOURS DURING TRADING HOURS: 8 POSITION/TITLE/RELATIONSHIP: AGENT DUTIES: GENERAL DUTIES: DBA FOR INDEXED ANNUITIES

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-08-15
S63	Uniform Securities Agent State Law Examination	1987-10-08

S65 Uniform Investment Adviser Law Examination

1996-08-15
S63 Uniform Securities Agent State Law Examination

1987-10-08

Designations

Certified Financial Planner
Personal Financial Specialist

View on SEC IAPD