Scott Teter

15 W. Carrillo Street
Suite 252
Santa Barbara, California, 93101
Phone: 805.879.7550
Website: www.scottteter.com
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Business Philosophy

I have been an independent professional for 25 years. Investments, taxes, insurance, estate planning: the list of financial concerns and considerations facing you today is seemingly endless. And there are no easy answers. I am in the business of helping my clients address all their financial challenges. I do this by using a total wealth management approach. Each area is important individually, but managing them all collectively is one of the most important considerations in your overall financial success. My approach can help you invest conservatively, reduce your exposure to taxes, meet your insurance needs and provides a plan to successfully transfer your wealth to your children and grandchildren.

My Minimum Asset Requirements: $250,000

Types of Clients:
  • Individuals
  • Companies (Non-Pension)
  • Companies (Pension)
  • Public Funds
  • Foundations
Types of Services:
  • Financial Planning Advice & Services
  • Investment Advice & Services
Assets Under Management:
  • Did Not Provide
Number of Clients:
  • Did Not Provide
1. What are your firm names?
  • Registered Investment Advisor

    LPL Financial

  • Broker Dealer

    LPL Financial

2. What is your type of RIA registration?
  • SEC
3. Are you a sole practitioner or a member of a firm or team?
  • Sole Practitioner
4. What is your relationship to your Registered Investment Advisor?
  • Independent Contractor
5. What are your years of applicable financial service experience?
  • 25 Years
6. Do you have any college degree(s)?
School
  • University of California at Santa Barbara
Degree
  • University of California at Santa Barbara / Political Science
Major
  • Did Not Provide
7. Do you belong to any industry associations?
  • No
8. What is your CRD or IARD number?
  • 1712630
9. Do you hold any active securities licenses?
  • Series 7
  • Series 24
  • Series 63
  • Series 65
10. Which categories of financial services do you provide?
  • Financial Planning Advice & Services
  • Investment Advice & Services
11. Which planning services do you provide?
  • Financial Plans
  • Retirement Plans
  • College Plans
  • Estate Plans
  • Charitable Plans
  • Tax Plans
  • Other
12. Which investment advisory services do you provide?
  • Investment Strategy & Policy
  • Risk Management
  • Rebalancing
  • Tax Efficient Investing
  • Asset Allocation
  • Asset Allocation
  • Performance Reports
  • Money Manager Selection
  • Performance Reports
  • Other
13. If you make investment decisions for clients, how do you invest their assets?
  • Did Not Provide
14. How many clients (not accounts) do you currently service?
  • Did Not Provide
15. What amount of client assets is currently under your management or advisement?
  • Did Not Provide
16. What is minimum fee for your planning services?
  • Did Not Provide
17. What is your minimum asset requirement for your investment services?
  • $250,000
18. What is your minimum net worth requirement for your planning services?
  • Did Not Provide
19. What type of compensation do you receive for your planning services?
  • Asset Based Fees
  • Hourly Fees
20. What type of compensation do you receive for your investment advisory services?
  • Asset Based Fees
  • Hourly Fees
21. Do you work with remote clients over the Internet and telephone?
  • Yes
22. Do you hold any active insurance licenses?
  • Life
  • Annuity
  • Long-Term Care
23. Are you a Registered Investment Advisor or an Investment Advisor Representative?
  • Yes
24. Do you acknowledge you are a fiduciary when you provide financial advice and services for fees?
  • Yes
25. What states are covered by your registration(s) to sell investment advisory services?
  • California
  • Idaho
  • Hawaii
  • Texas
26. What states are covered by your registration(s) to sell investment and brokerage products?
  • Did Not Provide
27. What states are covered by your registration(s) to sell insurance products?
  • Did Not Provide
28. Do you have any compliance disclosures for the past 5 years?
  • Investment Disclosures: No
  • Insurance Disclosures: No
29. Do you have any criminal disclosures since you became an adult?
  • Misdemeanors: No
  • Felonies: No
30. How do investors view your ADV Part II?

Available Upon Request

31. What languages do you speak fluently?
  • Did Not Provide
32. What is your primary role?
  • Did Not Provide
33. Which investment products do you sell?
  • Mutual Funds
  • Commodities
  • REITs
  • Other
34. Which insurance products do you sell?
  • Life
  • Fixed Annuities
  • Variable Annuities
  • Long Term Care
  • Other
35. Do you provide tax advice and services?
  • No
36. Do you provide legal advice and services?
  • Did Not Provide
37. Do you provide any limited engagement services?
  • Planning Only (No investment services)
  • Financial Plan Reviews
38. What types of clients do you work with?
  • Individuals
  • Companies (Non-Pension)
  • Companies (Pension)
  • Public Funds
  • Foundations
39. Where does your first meeting with a prospective client take place?
  • Investor's Preference
40. Which companies act as custodians for your clients assets?
  • LPL Financial
  • The Private Trust Co.
41. What types of reports do you provide your clients and what is the frequency?
42. General Comments:

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Certification

I certify all of the information in my professional profile is accurate and up-to-date.
Advisor Name: Scott Teter
Most Recent Update: May/ 8/2013