Scott Goerner has been an investment adviser representative at Regal Advisory Services since September 2025, and is not listed among the firm’s executive officers or direct owners.
Regal Advisory Services, Inc. is a Glenview, IL firm with $121M under management, 274 clients and 16 advisers across 13 offices, as of its July 2026 filing.
- – present · 1 yearSan Juan Capistrano, CA · Adviser representative · Firm CRD 123842
Investment adviser representative registrations
Scott Goerner is registered as an investment adviser representative in 2 states. The first approvals date from September 2025; the most recent is California, in October 2025.
- CaliforniaSince 7 October 2025
- IllinoisSince 3 September 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 79TO | Investment Banking Registered Representative Examination | 11 May 2026 |
| Series 7TO | General Securities Representative Examination | 22 August 2025 |
| Series 66 | Uniform Combined State Law Examination | 1 April 2025 |
| SIE | Securities Industry Essentials Examination | 2 March 2024 |
- Name
- Investment Banking Registered Representative Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Combined State Law Examination
- Name
- Securities Industry Essentials Examination
- Full name
- Scott Ervin Goerner
- CRD
- 8148759
- Firm
- Regal Advisory Services · CRD 123842
- Office
- San Juan Capistrano, CA
- Registration
- Investment adviser and broker registrations
- In the industry since
- August 2025
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Scott Goerner work?
Scott Goerner is an investment adviser representative registered through Regal Advisory Services, Inc. since September 2025, and is not listed among the firm’s executive officers or direct owners.
Is Scott Goerner a financial advisor?
Yes. Scott Goerner has a current investment-adviser registration in California and Illinois, through Regal Advisory Services since September 2025.
How many years of experience does Scott Goerner have?
Scott Goerner has 1 year in the financial industry, since August 2025, across 1 adviser firm.
What exams has Scott Goerner passed?
Scott Goerner has passed 4 licensing exams: the SIE, Series 66, Series 7TO and Series 79TO. The earliest, the SIE, was passed in March 2024.
Where is Scott Goerner based?
Scott Goerner’s registered office is in San Juan Capistrano, CA.
Is Scott Goerner registered with FINRA?
Yes. Scott Goerner has a current broker registration, under CRD 8148759.
Source: FINRA BrokerCheck
How can I verify Scott Goerner’s record?
Search CRD 8148759 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Scott Goerner’s full registration record.