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Detailed Report
SCOTT TIMOTHY CAVEY
CRD#: 4287897
IA
Investment Adviser
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Previous Broker
AVIOR WEALTH MANAGEMENT, LLCCRD#: 148674 14301 FIRST NATIONAL BANK PARKWAY
SUITE 410
OMAHA, NE 68154
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2004 - 2011 (6 years)2 FIRMS2011 - 2020 (9 years)IAAVIOR WEALTH MANAGEMENT, LLC (CRD# 148674)2020 - Present (4 years)BEDWARD JONES (CRD# 250)2002 - 2004 (2 years)BUBS PAINEWEBBER INC. (CRD# 8174)2000 - 2002 (1 year)IAUBS PAINEWEBBER INC. (CRD# 8174)2001 - 2002 (1 year)
Disclosure(s)
View By:
3/23/2016
Customer Dispute
Closed-No Action
3/14/2015
Customer Dispute
Denied
12/16/2011
Customer Dispute
Denied
License(s)

State Registrations

IA
Iowa 3/9/2022
IA
Texas 3/9/2022
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Nebraska 5/13/2020
Current Registration(s)
IA
AVIOR WEALTH MANAGEMENT, LLC (CRD#:148674)
14301 FIRST NATIONAL BANK PARKWAY SUITE 410, OMAHA, NE 68154
Registered with this firm since 5/13/2020
Previous Registration(s)
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IA
 02/18/2011 - 05/04/2020 CETERA ADVISORS LLC (CRD#:10299) OMAHA, NE
B
 02/15/2011 - 05/04/2020 CETERA ADVISORS LLC (CRD#:10299) OMAHA, NE
IA
 09/24/2004 - 02/11/2011 QA3 FINANCIAL LLC (CRD#:104957) OMAHA, NE
B
 09/08/2004 - 02/11/2011 QA3 FINANCIAL CORP. (CRD#:14754) OMAHA, NE
B
 05/10/2002 - 09/08/2004 EDWARD JONES (CRD#:250) ST. LOUIS, MO
IA
 03/23/2001 - 05/07/2002 UBS PAINEWEBBER INC. (CRD#:8174) OMAHA, NE
B
 12/11/2000 - 05/07/2002 UBS PAINEWEBBER INC. (CRD#:8174) WEEHAWKEN, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.