Scott L. Harvey

LPL ENTERPRISE

BASKING RIDGE, NJ 07920

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CRD#: 1193052

Professional summary

Scott Lester Harvey SR., who also goes by Scott Lester Harvey, Scott L Harvey, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Basking Ridge, New Jersey.

Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Scott has worked at 12 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 31, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Scott Lester Harvey | Scott L Harvey

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Lester Harvey SR.'s CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Scott Lester Harvey SR.'s CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 110 Allen Road 2nd Floor, Basking Ridge, NJ 07920

RIA

CRD#: 8733

BASKING RIDGE, NJ

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 110 Allen Road 2nd Floor, Basking Ridge, NJ 07920

RIA

CRD#: 8733

BASKING RIDGE, NJ

Past

January 26, 2024 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Basking Ridge, NJ

Past

January 22, 2024 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

Basking Ridge, NJ

Past

November 8, 2016 - May 26, 2017

SECUREVEST FINANCIAL GROUP

CRD#: 10100

MORRISTOWN, NJ

Past

January 13, 2006 - June 30, 2014

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CRD#: 102920

NEW YORK, NY

Past

April 2, 2004 - January 11, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

March 30, 2004 - January 11, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

January 3, 2003 - April 1, 2004

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

NEW YORK, NY

Past

January 19, 2001 - April 1, 2004

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

July 25, 1996 - January 18, 2001

FINANCIAL NORTHEASTERN SECURITIES, INC.

CRD#: 17007

FAIRFIELD, NJ

Past

October 26, 1995 - July 10, 1996

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

PHILADELPHIA, PA

Past

August 16, 1989 - August 30, 1994

COMMONWEALTH INSTITUTIONAL SECURITIES, INC.

CRD#: 22305

Past

January 9, 1985 - August 16, 1989

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

Past

December 11, 1984 - December 18, 1984

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

CRD#: 7404

Past

October 19, 1983 - March 12, 1984

BLINDER, ROBINSON & CO., INC.

CRD#: 5096

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(11/18/2024)

New Jersey
(11/14/2024)

IAR

New Jersey
(11/14/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/25/2017

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/20/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/2/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/20/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 5/26/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 2/7/2001

Futures Managed Funds Examination

General Industry/Product Exam

Series 3

Date: 2/10/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/15/1983

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

Delaware since 05/25/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

4,650

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LPL HOLDINGS, INC.	MANAGING MEMBER
HORAN-ADAMS, KIRBY LEPAK	CHIEF EXECUTIVE OFFICER. PRESIDENT	5097259
MALFITANO, STEVEN THOMAS	PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP	3178848
MORRISON, STEVEN PHILIP	SECRETARY	4529345
SHEEHAN, RICHARD STEVEN	SVP, CHIEF COMPLIANCE OFFICER	3096567

Regulatory assets under management

Total Number of Accounts	114,002
AUM (Assets Under Management)	$ 18,862,098,900

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Scott L. Harvey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Lester Harvey SR.'s CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Scott Lester Harvey SR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

SECUREVEST FINANCIAL GROUP

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

FINANCIAL NORTHEASTERN SECURITIES, INC.

JANNEY MONTGOMERY SCOTT LLC

COMMONWEALTH INSTITUTIONAL SECURITIES, INC.

THOMSON MCKINNON SECURITIES INC.

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

BLINDER, ROBINSON & CO., INC.

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/25/2017

Series 65

Date: 12/20/1999

Series 63

Date: 7/2/1984

Series 7TO

Date: 1/20/2024

SIE

Date: 5/26/2017

Series 31

Date: 2/7/2001

Series 3

Date: 2/10/1986

Series 7

Date: 10/15/1983

FINRA

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

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