Scot F. Howard
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.
Scot Frederick Howard, who also goes by Scott F Howard, was a registered financial professional .
Scot is a previously registered financial professional and started their career in finance in 1985. Scot had worked at 17 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2014 - September 25, 2015
LPL FINANCIAL LLC
September 30, 2014 - September 25, 2015
LPL FINANCIAL LLC
June 25, 2012 - November 26, 2012
CUSO FINANCIAL SERVICES, L.P.
June 25, 2012 - November 26, 2012
CUSO FINANCIAL SERVICES, L.P.
November 14, 2011 - June 28, 2012
BANCWEST INVESTMENT SERVICES, INC.
November 14, 2011 - June 28, 2012
BANCWEST INVESTMENT SERVICES, INC.
August 31, 2004 - July 20, 2011
WESCOM FINANCIAL SERVICES
June 17, 2003 - July 20, 2011
WESCOM FINANCIAL SERVICES
June 17, 2002 - September 2, 2004
CUSO FINANCIAL SERVICES, L.P.
June 17, 2002 - September 2, 2004
CUSO FINANCIAL SERVICES, L.P.
July 18, 2001 - June 13, 2002
ALLSTATE FINANCIAL SERVICES, LLC
February 18, 1998 - June 25, 2001
FISERV INVESTOR SERVICES, INC.
October 17, 1996 - February 18, 1998
AEGON USA SECURITIES INC.
December 20, 1995 - December 18, 1996
INDEPENDENT FINANCIAL SECURITIES, INC.
March 29, 1995 - November 16, 1995
ESSEX NATIONAL SECURITIES, LLC
December 19, 1994 - December 14, 1995
FIRST INTERSTATE INVESTMENTS,INC.
October 11, 1994 - December 31, 1994
GRIFFIN FINANCIAL SERVICES
August 15, 1994 - October 25, 1994
WELLS FARGO SECURITIES INC.
January 11, 1994 - August 19, 1994
GRIFFIN FINANCIAL SERVICES
March 30, 1993 - January 1, 1994
INVEST FINANCIAL CORPORATION
January 12, 1993 - March 22, 1993
CITICORP INVESTMENT SERVICES
March 1, 1990 - December 1, 1992
ASB FINANCIAL SERVICES
May 9, 1989 - March 7, 1990
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
November 20, 1985 - April 25, 1989
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 |
| 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.
