Scott N. Tank
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 Norman Tank, who also goes by Scott N Tank, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1990. Scott had worked at 14 firms and has passed the Series 63, Series 65, Series 7TO, 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
July 11, 2025 - August 4, 2025
LPL FINANCIAL LLC
July 11, 2025 - August 4, 2025
LPL FINANCIAL LLC
March 5, 2021 - July 3, 2025
ASSOCIATED INVESTMENT SERVICES, INC.
March 1, 2021 - July 3, 2025
ASSOCIATED INVESTMENT SERVICES, INC.
April 17, 2017 - March 1, 2021
UNITED ADVISORS AMERICA
February 17, 2016 - April 6, 2017
FBL MARKETING SERVICES, LLC
November 6, 2014 - December 21, 2015
MWA FINANCIAL SERVICES INC.
November 4, 2014 - December 21, 2015
MWA FINANCIAL SERVICES INC.
February 6, 2013 - November 12, 2014
J.P. MORGAN SECURITIES LLC
February 6, 2013 - November 12, 2014
J.P. MORGAN SECURITIES LLC
March 31, 2010 - February 6, 2013
U.S. BANCORP INVESTMENTS, INC.
March 31, 2010 - February 6, 2013
U.S. BANCORP INVESTMENTS, INC.
September 28, 2004 - April 1, 2010
ASSOCIATED INVESTMENT SERVICES, INC.
December 4, 1998 - April 1, 2010
ASSOCIATED INVESTMENT SERVICES, INC.
August 7, 1996 - December 3, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 31, 1993 - August 23, 1996
CITIGROUP GLOBAL MARKETS INC.
October 5, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
February 3, 1992 - October 23, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
February 3, 1992 - October 23, 1992
PRUCO SECURITIES, LLC.
February 12, 1991 - September 27, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
February 12, 1991 - September 27, 1991
PRUCO SECURITIES, LLC.
July 27, 1990 - February 4, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 27, 1990 - February 4, 1991
EQUITABLE ADVISORS, 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
Series 7TO
Date: 3/5/2021
General Securities Representative ExaminationCurrent 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.
