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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

SCOTT NATHAN BRODY

Advisor at VESTED FINANCE

El Segundo, CA

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Search this name across graphsid dfx:ria:297353dc-66f0-4582-de7b-c1d99ff2b42c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Apr 10, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: VESTED FINANCE
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 5, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Nov 5, 1997
First registration: Apr 10, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 2890610

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
VESTED FINANCE	No RAUM reported	Mar 3, 2022	n/a	yes	El Segundo, CA	Current employment
RBC SECURITIES, INC.	Bd affiliated wealth	Aug 8, 2012	Feb 2, 2022	no	LOS ANGELES, CA	Previous registration
METROPOLITAN WEST ASSET MANAGEMENT LLC	Asset manager	Dec 22, 2009	Aug 6, 2012	no	LOS ANGELES, CA	Previous registration
ASSOCIATED SECURITIES CORP.	n/a	Jun 16, 2009	Nov 13, 2009	no	EL SEGUNDO, CA\|BOSTON, MA	Previous registration
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC	n/a	Mar 27, 2006	Dec 15, 2009	no	BOSTON, MA	Previous registration
CETERA ADVISOR NETWORKS LLC	Former SEC adviser	Jan 20, 2005	Feb 8, 2005	no	EL SEGUNDO, CA	Previous registration
CUSO FINANCIAL SERVICES, L.P.	Former SEC adviser	Apr 10, 2003	Jan 13, 2005	no	SAN DIEGO, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
RBC SECURITIES, INC.	VESTED FINANCE	Feb 2, 2022	Mar 3, 2022	29	Firm change	Other
METROPOLITAN WEST ASSET MANAGEMENT LLC	RBC SECURITIES, INC.	Aug 6, 2012	Aug 8, 2012	2	Firm change	Other
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC	ASSOCIATED SECURITIES CORP.	Dec 15, 2009	Jun 16, 2009	-182	Firm change after gap	Other
ASSOCIATED SECURITIES CORP.	METROPOLITAN WEST ASSET MANAGEMENT LLC	Nov 13, 2009	Dec 22, 2009	39	Firm change	Other
CETERA ADVISOR NETWORKS LLC	ASSOCIATED PLANNERS INVESTMENT ADVISORY INC	Feb 8, 2005	Mar 27, 2006	412	Firm change after gap	Other
CUSO FINANCIAL SERVICES, L.P.	CETERA ADVISOR NETWORKS LLC	Jan 13, 2005	Jan 20, 2005	7	Firm change	Other

Relationships

Registered with (7)

→ VESTED FINANCERegistered adviserregistration: current employment
Mar 3, 2022 to presentfactForm ADV
→ RBC SECURITIES, INC.Registered adviserregistration: previous registration
Aug 8, 2012 to Feb 2, 2022factForm ADV
→ METROPOLITAN WEST ASSET MANAGEMENT LLCRegistered adviserregistration: previous registration
Dec 22, 2009 to Aug 6, 2012factForm ADV
→ ASSOCIATED PLANNERS INVESTMENT ADVISORY INCRegistered adviserregistration: previous registration
Mar 27, 2006 to Dec 15, 2009factForm ADV
→ ASSOCIATED SECURITIES CORP.Registered adviserregistration: previous registration
Jun 16, 2009 to Nov 13, 2009factForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserregistration: previous registration
Jan 20, 2005 to Feb 8, 2005factForm ADV
→ CUSO FINANCIAL SERVICES, L.P.Registered adviserregistration: previous registration
Apr 10, 2003 to Jan 13, 2005factForm ADV

Dated events

Occurred
Feb 2, 2022
Advisor changed firm
Scott Nathan Brody left Rbc Securities, Inc. for Vested Finance (registered 2022-03-03)
Form ADVobserved 5 days ago