Scott B. Reese

LPL FINANCIAL

Fort Mill, SC 29715

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CRD#: 2849779

Professional summary

Scott Bradley Reese is a registered financial professional currently at LPL FINANCIAL LLC located in Fort Mill, South Carolina and LPL ENTERPRISE, LLC located in Fort Mill, South Carolina.

Scott is registered as a RR (Registered Representative) and started their career in finance in 1997. Scott has worked at 15 firms and has passed the Series 63, Series 57TO, Series 79TO, Series 52TO, SIE, Series 55, Series 7, Series 10, Series 9, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view Scott Bradley Reese's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 11, 2017 - Present

LPL FINANCIAL LLC

Office #1: 1055 Lpl Way, Fort Mill, SC 29715

RIA

CRD#: 6413

Fort Mill, SC

Current

April 25, 2023 - Present

LPL ENTERPRISE, LLC

Office #1: 1055 Lpl Way, Fort Mill, SC 29715

RIA

CRD#: 8733

Fort Mill, SC

Past

January 13, 2025 - September 4, 2025

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

PASADENA, CA

Past

January 13, 2025 - September 4, 2025

SORRENTO PACIFIC FINANCIAL, LLC

CRD#: 127787

SAN DIEGO, CA

Past

January 13, 2025 - September 4, 2025

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

ROCKVILLE, MD

Past

January 13, 2025 - December 9, 2025

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

HOUSTON, TX

Past

January 13, 2025 - December 9, 2025

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

SAN DIEGO, CA

Past

January 13, 2025 - December 9, 2025

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

Past

August 1, 2013 - June 5, 2017

STEPHENS

CRD#: 3496

LITTLE ROCK, AR

Past

April 24, 2013 - April 26, 2013

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

February 13, 2013 - May 2, 2013

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

MEMPHIS, TN

Past

February 13, 2007 - February 13, 2013

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Past

September 20, 2005 - February 13, 2007

AMSOUTH INVESTMENT SERVICES, INC.

CRD#: 15692

BIRMINGHAM, AL

Past

March 27, 2000 - September 20, 2005

NBC SECURITIES, INC.

CRD#: 17870

BIRMINGHAM, AL

Past

July 22, 1997 - June 13, 2000

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

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 ENTERPRISE, LLC

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)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

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

South Carolina
(7/11/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/28/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 2/14/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 7/21/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 11/3/2006

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 53

Date: 7/28/2000

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 7/22/1999

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/20/1998

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LPL ENTERPRISE, LLC

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

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

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	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.

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Advisor Monitoring

Firm Stability Insights

Scott B. Reese

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Scott Bradley Reese's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL ENTERPRISE, LLC

WESTERN INTERNATIONAL SECURITIES, INC.

SORRENTO PACIFIC FINANCIAL, LLC

GROVE POINT INVESTMENTS, LLC

NEXT FINANCIAL GROUP, INC.

CUSO FINANCIAL SERVICES, L.P.

CADARET, GRANT & CO., INC.

STEPHENS

SECURITIES AMERICA, INC.

RAYMOND JAMES & ASSOCIATES, INC.

MORGAN KEEGAN & COMPANY, LLC

AMSOUTH INVESTMENT SERVICES, INC.

NBC SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/28/1997

Series 57TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 2/14/2000

Series 7

Date: 7/21/1997

Series 10

Date: 1/2/2023

Series 9

Date: 11/3/2006

Series 53

Date: 7/28/2000

Series 4

Date: 7/22/1999

Series 24

Date: 4/20/1998

FINRA

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

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