Scott D. Zambon
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 Darin Zambon, who also goes by Scott D Zambon, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1990. Scott had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2024 - March 17, 2025
LPL ENTERPRISE, LLC
June 9, 2020 - November 14, 2024
PRUCO SECURITIES, LLC.
January 3, 2019 - July 11, 2019
VISION 4 FUND DISTRIBUTORS
May 30, 2018 - November 13, 2018
FORESIDE FUND SERVICES, LLC
February 12, 2014 - July 21, 2017
GNV ADVISORS, LLC
May 3, 2012 - July 21, 2017
GENEVA ADVISORS, LLC
November 6, 2009 - August 12, 2011
ALLIANCEBERNSTEIN INVESTMENTS, INC.
August 30, 1994 - March 6, 2009
CAPITAL CLIENT GROUP, INC.
June 25, 1990 - February 23, 1993
MORGAN STANLEY DW INC.
February 16, 1990 - March 17, 1990
THE STUART-JAMES COMPANY, INCORPORATED
Primary Firm SEC Registration
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
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 ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
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 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| 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 | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
