Joe D. Scarborough
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.
Joe Dennis Scarborough, who also goes by Joe D Scarborough, Joe Scarborough, was a registered financial professional .
Joe is a previously registered financial professional and started their career in finance in 1985. Joe had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 22, 2019 - April 10, 2025
LPL FINANCIAL LLC
November 22, 2019 - April 10, 2025
LPL FINANCIAL LLC
November 17, 2015 - November 27, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
November 10, 2015 - November 27, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 1, 2012 - December 7, 2015
CORNERSTONE WEALTH MANAGEMENT, LLC
December 2, 2011 - March 27, 2013
LPL FINANCIAL LLC
December 2, 2011 - November 27, 2015
LPL FINANCIAL LLC
November 30, 2006 - December 1, 2011
EDWARD JONES
June 1, 1999 - December 1, 2011
EDWARD JONES
April 27, 1998 - May 28, 1999
MORGAN STANLEY DW INC.
May 12, 1997 - January 27, 1998
EDWARD JONES
January 29, 1991 - April 28, 1997
HORACE MANN INVESTORS, INC.
November 29, 1989 - October 24, 1990
METROPOLITAN LIFE INSURANCE COMPANY
November 29, 1989 - October 24, 1990
MSI FINANCIAL SERVICES, INC.
March 8, 1985 - March 15, 1988
HORACE MANN INVESTORS, INC.
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 |
| 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 | 208 |
| 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.
