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SW

Scott J. Walker

Some features on this profile are disabled
CRD#: 1673698
SW

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.

Scott James Walker, who also goes by Scott J Walker, Scott Walker, Scott James Walker, was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 1987. Scott had worked at 17 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Scott J Walker | Scott Walker | Scott James Walker

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 15, 2025 - July 16, 2025

LPL FINANCIAL LLC

RIA
CRD#: 6413
ANAHEIM, CA
Past

May 15, 2025 - July 16, 2025

LPL FINANCIAL LLC

BD
CRD#: 6413
ANAHEIM, CA
Past

January 13, 2023 - May 15, 2025

CUSO FINANCIAL SERVICES, L.P.

RIA
CRD#: 42132
Anaheim, CA
Past

January 13, 2023 - May 15, 2025

CUSO FINANCIAL SERVICES, L.P.

BD
CRD#: 42132
Anaheim, CA
Past

July 23, 2018 - February 6, 2023

WESCOM FINANCIAL SERVICES

RIA
CRD#: 125650
Anaheim, CA
Past

May 29, 2018 - July 13, 2018

WESCOM FINANCIAL SERVICES

RIA
CRD#: 125650
Anaheim, CA
Past

May 29, 2018 - February 6, 2023

WESCOM FINANCIAL SERVICES

BD
CRD#: 125650
Anaheim, CA
Past

November 2, 2017 - July 9, 2018

WESTERN INTERNATIONAL SECURITIES, INC.

BD
CRD#: 39262
Westlake Village, CA
Past

April 4, 2017 - June 22, 2017

CUSO FINANCIAL SERVICES, L.P.

RIA
CRD#: 42132
LOS ANGELES, CA
Past

April 3, 2017 - June 22, 2017

CUSO FINANCIAL SERVICES, L.P.

BD
CRD#: 42132
LOS ANGELES, CA
Past

March 16, 2012 - January 18, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
CERRITOS, CA
Past

March 16, 2012 - January 18, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
CERRITOS, CA
Past

August 9, 2010 - November 21, 2011

TD AMERITRADE, INC.

BD
CRD#: 7870
BEVERLY HILLS, CA
Past

August 2, 2010 - November 21, 2011

TD AMERITRADE, INC.

RIA
CRD#: 7870
BEVERLY HILLS, CA
Past

August 2, 2010 - November 21, 2011

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
BEVERLY HILLS, CA
Past

February 13, 2007 - July 27, 2009

CUSO FINANCIAL SERVICES, L.P.

RIA
CRD#: 42132
HAWTHORNE, CA
Past

February 12, 2007 - July 27, 2009

CUSO FINANCIAL SERVICES, L.P.

BD
CRD#: 42132
HAWTHORNE, CA
Past

January 3, 2006 - February 13, 2007

WELLS FARGO INVESTMENTS, LLC

RIA
CRD#: 10582
GARDENA, CA
Past

January 3, 2006 - February 13, 2007

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
GARDENA, CA
Past

June 23, 2005 - September 14, 2005

DFC INVESTOR SERVICES

RIA
CRD#: 18558
CLAREMONT, CA
Past

June 23, 2005 - September 14, 2005

DFC INVESTOR SERVICES

BD
CRD#: 18558
CHINO HILLS, CA
Past

March 21, 2005 - June 17, 2005

WAMU INVESTMENTS, INC.

RIA
CRD#: 599
VICTORVILLE, CA
Past

March 21, 2005 - June 17, 2005

WAMU INVESTMENTS, INC.

BD
CRD#: 599
IRVINE, CA
Past

August 9, 2004 - March 4, 2005

ESSEX NATIONAL SECURITIES, LLC

RIA
CRD#: 25454
NAPA, CA
Past

September 23, 2003 - March 4, 2005

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
NAPA, CA
Past

February 5, 2003 - September 12, 2003

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY
Past

January 29, 1999 - February 5, 2003

CAL FED INVESTMENTS

BD
CRD#: 19631
SACRAMENTO, CA
Past

July 9, 1998 - January 11, 1999

PACIFIC AMERICAN SECURITIES, LLC

BD
CRD#: 42999
SAN DIEGO, CA
Past

May 16, 1990 - July 9, 1998

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
NEW YORK, NY
Past

September 13, 1989 - December 21, 1989

REICH & CO., INC.

BD
CRD#: 19611
Past

June 3, 1987 - July 22, 1987

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79

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 FINANCIAL LLC
LPL FINANCIAL LLC
LINSCO/PRIVATE LEDGER CORP. | WADDELL & REED INVESTMENTS | WADDELL & REED FINANCIAL ADVISORS | WADDELL & REED | PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED | LPL FINANCIAL LLC | LPL FINANCIAL CORPORATION | LPL FINANCIAL | LPL

CRD#: 6413 / SEC#: 801-10970, 8-17668

RIA
Registered Investment Advisory firm - SEC (8/25/1975 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/25/2024
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/11/2004
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/16/1987
General Securities Representative Examination

Current Firm

LPL FINANCIAL LLC
LPL FINANCIAL LLC
LINSCO/PRIVATE LEDGER CORP. | WADDELL & REED INVESTMENTS | WADDELL & REED FINANCIAL ADVISORS | WADDELL & REED | PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED | LPL FINANCIAL LLC | LPL FINANCIAL CORPORATION | LPL FINANCIAL | LPL

CRD#: 6413 / SEC#: 801-10970, 8-17668

RIA
Registered Investment Advisory firm - SEC (8/25/1975 Approved)
BD
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
California since 11/15/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
37,893

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

LPLE OMP PROGRAM BROCHURE A12 (10/22/2025)
LPL THIRD PARTY CO-ADVISORY OMP PROGRAM BROCHURE A12-R (10/22/2025)
LPL CUSTOM CO-ADVISORY OMP PROGRAM BROCHURE A12-EQH (10/22/2025)
LPL OMP PROGRAM BROCHURE A12 (10/22/2025)
LPL CUSTOM CO-ADVISORY MWP PROGRAM BROCHURE A11-EQH (9/30/2025)
LPL PWP PROGRAM BROCHURE A9 (9/30/2025)
LPL RETIREMENT PLAN PROGRAMS BROCHURE A15 (9/30/2025)
LPL SAM PROGRAM BROCHURE A7 (9/30/2025)
LPL CUSTOM CO-ADVISORY MS PROGRAM BROCHURE MS302-EQH (9/30/2025)
LPL THIRD PARTY CO-ADVISORY MWP PROGRAM BROCHURE A11-R (9/30/2025)
LPL CUSTOM CO-ADVISORY PWP PROGRAM BROCHURE A9-EQH (9/30/2025)
LPLE MS PROGRAM BROCHURE MS302 (9/30/2025)
LPLE PWP PROGRAM BROCHURE A9 (9/30/2025)
LPLE SAM PROGRAM BROCHURE A7 (9/30/2025)
LPLE MWP PROGRAM BROCHURE A11 (9/30/2025)
LPL MWP PROGRAM BROCHURE A11 (9/30/2025)
LPL THIRD PARTY CO-ADVISORY MAS PROGRAM BROCHURE MS302-R (9/30/2025)
LPL CUSTOM CO-ADVISORY SAM I AND SAM II PROGRAM BROCHURE A7-EQH (9/30/2025)
LPL THIRD PARTY CO-ADVISORY PWP PROGRAM BROCHURE A9-R (9/30/2025)
LPL MS PROGRAM BROCHURE MS302 (9/30/2025)
LPL APP PROGRAM BROCHURE A16 (7/15/2025)
LPLE GUIDED WEALTH PORTFOLIOS (3/31/2025)
GUIDED WEALTH PORTFOLIOS (3/31/2025)
BANK WEALTH PROGRAM (3/31/2025)
LPL FIRM BROCHURE A58 (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
LPL HOLDINGS, INC.MANAGING MEMBER
AUDETTE, MATTHEW JONPRESIDENT AND CHIEF FINANCIAL OFFICER4003349
ENYEDI, MATTHEW KLAUSMANAGING DIRECTOR, NATIONAL SALES4194266
GATES, GREGORYMANAGING DIRECTOR, CHIEF INFORMATION OFFICER7069201
JAMBUSARIA, ANERIMANAGING DIRECTOR LPL SERVICES GROUP7248335
MALFITANO, STEVEN THOMASSVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER3178848
MCHALE, JAMESEXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER6052977
MORNINGSTAR, MATTHEW EDWINCHIEF LEGAL OFFICER2510742
RICKETTS, JUDITH KOHOSKIEEXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER2758924
SIMONICH, BRENT BLAINEXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER3254859
STEINMEIER, RICHARD CCHIEF EXECUTIVE OFFICER AND DIRECTOR5109512

Regulatory assets under management

Total Number of Accounts2,369,378
AUM (Assets Under Management)$ 618,922,975,737

Disclosures

Regulatory Event214
Arbitration58
Bond4

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
06/25/2025
Cover Page
Report
07/19/2024
Cover Page
Report
11/09/2023
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.

Company Information

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CRD#: 6413

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