Lawrence D. Scoloveno
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.
Lawrence D Scoloveno was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1985. Lawrence 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
September 4, 2019 - February 10, 2020
LPL FINANCIAL LLC
July 13, 2018 - February 28, 2019
LPL FINANCIAL LLC
February 21, 2018 - August 30, 2019
FORTIS GROUP ADVISORS LLC
February 14, 2018 - June 18, 2018
LPL FINANCIAL LLC
February 14, 2018 - February 10, 2020
LPL FINANCIAL LLC
June 23, 2010 - February 20, 2018
INVEST FINANCIAL CORPORATION
June 16, 2010 - February 14, 2018
INVEST FINANCIAL CORPORATION
January 10, 2008 - November 19, 2009
PNC WEALTH MANAGEMENT LLC
January 10, 2008 - November 19, 2009
PNC WEALTH MANAGEMENT LLC
September 27, 2006 - January 2, 2008
CHASE INVESTMENT SERVICES CORP.
September 27, 2006 - January 2, 2008
CHASE INVESTMENT SERVICES CORP.
October 20, 2004 - September 22, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - September 22, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 6, 2002 - October 20, 2004
QUICK & REILLY, INC.
April 25, 2001 - October 20, 2004
QUICK & REILLY, INC.
October 21, 1998 - April 25, 2001
SUMMIT FINANCIAL SERVICES GROUP, INC.
June 24, 1996 - October 21, 1998
FISERV INVESTOR SERVICES, INC.
March 14, 1996 - September 30, 1996
PENN PLAZA BROKERAGE, LTD.
February 1, 1985 - January 30, 1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
February 1, 1985 - January 30, 1996
SIGNATOR 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.
