SV
Scott A. Valentine
LPL ENTERPRISE
Melville, NY 11747
Some features on this profile are disabled
CRD#: 2334877
SV
Professional summary
Scott Andrew Valentine, who also goes by Scott Valentine, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Melville, New York.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Scott has worked at 12 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Scott Valentine
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.
GAV Properties LLC; Investment-related; Nature: Undeveloped land for sale as a single parcel. ; Oconee County, South Carolina; Started: 4/26/00; Title: Director - Passive. Compensated on liquidation.; Duties: Review and sign off on any change in ownership (sale or restructure), or property modification.; No time is devoted each month during securities trading hours; No time is devoted each month outside of securities trading hours.///// RG WEALTH MANAGEMENT GROUP POSITION: Financial Professional NATURE: Insurance and Investments INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 06/26/2024 ADDRESS: 331 East Main Street, Riverhead NY 11901, United States DESCRIPTION: Sales and service of insurance and investments THE RHG GROUP INSURANCE POSITION: Financial Professional NATURE: Insurance and Financial Services for Florida INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/26/2024 ADDRESS: 331 E Main Street, Riverhead NY 11901, United States DESCRIPTION: DBA for the State of Florida
CRS (Client Relationship Summary) - RIA
Click below to view Scott Andrew Valentine's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Scott Andrew Valentine's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 445 Broadhollow Road Suite 405, Melville, NY 11747RIA
BD
CRD#: 8733
Melville, NY
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 445 Broadhollow Road Suite 405, Melville, NY 11747RIA
BD
CRD#: 8733
Melville, NY
Past
June 20, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Riverhead, NY
Past
June 20, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
November 15, 2022 - April 18, 2024
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
Farmingdale, NY
Past
November 15, 2022 - April 18, 2024
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
Farmingdale, NY
Past
February 19, 2016 - December 2, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
HICKSVILLE, NY
Past
February 18, 2016 - December 2, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
HICKSVILLE, NY
Past
January 28, 2015 - February 22, 2016
CAPITAL ONE ADVISORS, LLC
RIA
CRD#: 136865
SEATTLE, WA
Past
January 2, 2015 - February 22, 2016
CAPITAL ONE INVESTING, LLC
BD
CRD#: 45744
SAG HARBOR, NY
Past
April 7, 2014 - January 28, 2015
CAPITAL ONE FINANCIAL ADVISORS LLC
RIA
CRD#: 127236
SOUTHAMPTON, NY
Past
April 3, 2014 - January 2, 2015
CAPITAL ONE INVESTMENT SERVICES LLC
BD
CRD#: 25658
SOUTHHAMPTON, NY
Past
November 17, 2010 - March 31, 2014
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
NEW YORK, NY
Past
October 27, 2010 - March 31, 2014
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
NEW YORK, NY
Past
October 6, 2006 - October 27, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
NEW YORK, NY
Past
October 30, 2003 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
October 30, 2003 - October 27, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
NEW YORK, NY
Past
April 25, 2003 - July 16, 2003
CREDIT AGRICOLE SECURITIES (USA) INC.
BD
CRD#: 190
NEW YORK, NY
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(11/14/2024)
RR
Florida(11/20/2024)
RR
New York(11/14/2024)
IAR
New York(11/14/2024)
RR
Virginia(3/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)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
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
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 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| 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.
