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SR

Scott B. Reese

LPL FINANCIAL LLC
Fort Mill, SC 29715
Some features on this profile are disabled
CRD#: 2849779
SR

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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

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

Current

July 11, 2017 - Present

LPL FINANCIAL LLC

Office #1: 1055 Lpl Way, Fort Mill, SC 29715
RIA
BD
CRD#: 6413
Fort Mill, SC
Current

April 25, 2023 - Present

LPL ENTERPRISE, LLC

Office #1: 1055 Lpl Way, Fort Mill, SC 29715
RIA
BD
CRD#: 8733
Fort Mill, SC
Current

January 13, 2025 - Present

NEXT FINANCIAL GROUP, INC.

Office #1: 11740 Katy Freeway Suite 600, Houston, TX 77079
CRD#: 46214
Houston, TX
Current

January 13, 2025 - Present

CUSO FINANCIAL SERVICES, L.P.

Office #1: 10150 Meanley Drive 1st Floor, San Diego, CA, 92131
RIA
BD
CRD#: 42132
San Diego, CA
Current

January 13, 2025 - Present

CADARET, GRANT & CO., INC.

Office #1: 100 Madison Street Suite 1300, Syracuse, NY 13202
CRD#: 10641
Syracuse, NY
Past

January 13, 2025 - September 4, 2025

WESTERN INTERNATIONAL SECURITIES, INC.

BD
CRD#: 39262
PASADENA, CA
Past

January 13, 2025 - September 4, 2025

SORRENTO PACIFIC FINANCIAL, LLC

BD
CRD#: 127787
SAN DIEGO, CA
Past

January 13, 2025 - September 4, 2025

GROVE POINT INVESTMENTS, LLC

BD
CRD#: 1763
ROCKVILLE, MD
Past

August 1, 2013 - June 5, 2017

STEPHENS

BD
CRD#: 3496
LITTLE ROCK, AR
Past

April 24, 2013 - April 26, 2013

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE
Past

February 13, 2013 - May 2, 2013

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
MEMPHIS, TN
Past

February 13, 2007 - February 13, 2013

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN
Past

September 20, 2005 - February 13, 2007

AMSOUTH INVESTMENT SERVICES, INC.

BD
CRD#: 15692
BIRMINGHAM, AL
Past

March 27, 2000 - September 20, 2005

NBC SECURITIES, INC.

BD
CRD#: 17870
BIRMINGHAM, AL
Past

July 22, 1997 - June 13, 2000

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
BIRMINGHAM, AL

State Registrations and Notice Filings

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

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
South Carolina
(7/11/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 10/28/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 2/14/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 7/21/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 11/3/2006
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 53
Date: 7/28/2000
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/22/1999
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/20/1998
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CG
CADARET, GRANT & CO., INC.
ADAMS LAVENTURA & ASSOCIATES | THE RETIREMENT OPTIMIZATION GROUP | SYRACUSE WEALTH MANAGEMENT | SPARTAN WEALTH MANAGEMENT | SC PARKER LLC | SC FINANCIAL GROUP LLC | ROBERT F. FAHEY JR. & ASSOCIATES | PROFESSIONAL FINANCIAL CONSULTANTS LLC | POMBO WEALTH MANAGEMENT | PETERSEN ADVISORS | MARATHON FINANCIAL ADVISORS, INC. | MARASCO WEALTH | LAWSON WINCHESTER WEALTH MANAGEMENT | INSIGHT FINANCIAL | EMS WEALTH MANAGEMENT | CYPRESS PRIVATE WEALTH | CAPITAL MANAGEMENT STRATEGIES LLC | CAPITAL MANAGEMENT GROUP OF NIAGARA | CADARET, GRANT & CO., INC. | CADARET GRANT & CO INC | BRIARWOOD WEALTH MANAGEMENT, LLC | BNL SECURITIES INC.

CRD#: 10641 / SEC#: 801-42709, 8-27844

BD
Terminated by SEC on 12/09/2025
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Contact information

Main Address
100 Madison Street Suite 1300, Syracuse, NY 13202
Mailing Address
Phone number
(800) 288-8601
Established
Delaware since 04/16/1981
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
692

FINRA licenses (4 States and Territories)

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

Documents

Latest Form ADV

Part 2 Brochures

CADARET GRANT CONTOUR WRAP FEE PROGRAM BROCHURE MARCH 2025 (3/28/2025)
CADARET GRANT FORM ADV 2A BROCHURE MARCH 2025 (3/28/2025)

Direct owners and executive officers

NamePositionCRD#
AWS 4, INC.SHAREHOLDER
MORRISSEY, WILLIAM PAULPRESIDENT1575389
SCHUMANN, ALEXIS VADVISORY CHIEF COMPLIANCE OFFICER3157769
SCHUMANN, ALEXIS VCHIEF COMPLIANCE OFFICER3157769
TYMKIW, TRISHA LYNNPRINCIPAL FINANCIAL OFFICER3197368

Regulatory assets under management

Total Number of Accounts25,442
AUM (Assets Under Management)$ 7,671,069,034

Disclosures

Regulatory Event17
Arbitration4

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/14/2024
Cover Page
Report
01/10/2024
Cover Page
Report
12/14/2022
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

CADARET, GRANT & CO., INC.

CRD#: 10641Fort Mill, SC 29715

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