John R. Scott
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Robert Scott, CFA was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1982. John had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2018 - December 31, 2025
LPL FINANCIAL LLC
August 23, 2018 - January 9, 2026
LPL FINANCIAL LLC
May 19, 2017 - August 7, 2018
FIRST ALLIED ADVISORY SERVICES, INC.
August 24, 2012 - August 7, 2018
FIRST ALLIED SECURITIES, INC.
January 27, 2010 - August 29, 2012
WOODBURY FINANCIAL SERVICES, INC.
August 24, 2007 - January 8, 2010
NEXT FINANCIAL GROUP, INC.
August 23, 2007 - January 8, 2010
NEXT FINANCIAL GROUP, INC.
February 28, 2006 - September 18, 2007
SII INVESTMENTS, INC.
February 28, 2006 - September 18, 2007
SII INVESTMENTS, INC.
January 22, 1990 - January 31, 2006
PRUCO SECURITIES, LLC.
January 17, 1990 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
January 17, 1990 - January 31, 2006
PRUCO SECURITIES, LLC.
September 2, 1988 - September 1, 1989
PRESCOTT, BALL & TURBEN, INC.
July 16, 1983 - August 2, 1988
PRUDENTIAL EQUITY GROUP, LLC
March 22, 1983 - July 8, 1983
MARION BASS SECURITIES CORPORATION
November 16, 1982 - February 10, 1983
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 214 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
