Scott A. Davis
LPL ENTERPRISE
GURNEE, IL 60031
Some features on this profile are disabled
CRD#: 3224197
Professional summary
Scott Alan Davis, CFP® is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Gurnee, Illinois.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Scott has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) 08/23/2024 - Lake County Financial Planning - Non-Variable Insurance Commission Trails - I sell Medicare Supplement and Medicare Part D - INV Related - At Gurnee, IL - Start Date 01/01/2001 - 0hrs/mth - 0hrs During Trading 2) 08/23/2024 - Lake County Financial Planning - DBA for LPL Business (entity for LPL business) - INV Related - At reported business location(s) - Start Date 01/01/2000 - 160hrs/mth - 160hrs During Trading 3) 12/20/2024 - Lake County Financial Planning - Non-Variable Insurance - Sale of proprietary and non-proprietary life insurance sales - INV Related - At Gurnee, IL - Start Date11/01/2024 - 10hrs/mth - 10hrs During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Scott Alan Davis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Scott Alan Davis'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®
CFP®
Start date: 2016
Experience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 223 North Route 21 Suite 28, Gurnee, IL 60031RIA
BD
CRD#: 8733
GURNEE, IL
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 223 North Route 21 Suite 28, Gurnee, IL 60031RIA
BD
CRD#: 8733
GURNEE, IL
Past
December 10, 2013 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
GURNEE, IL
Past
December 6, 2013 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
GURNEE, IL
Past
December 13, 2001 - November 26, 2013
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
GURNEE, IL
Past
May 20, 1999 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
GURNEE, IL
Past
May 20, 1999 - November 26, 2013
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
GURNEE, IL
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
California(11/14/2024)
RR
Florida(11/18/2024)
RR
Illinois(11/14/2024)
IAR
Illinois(11/14/2024)
RR
Iowa(11/14/2024)
RR
Kentucky(11/14/2024)
RR
Minnesota(11/14/2024)
RR
Nevada(11/14/2024)
RR
Ohio(12/12/2024)
RR
Tennessee(11/14/2024)
RR
Texas(11/14/2024)
RR
Virginia(11/20/2024)
RR
Washington(11/14/2024)
RR
Wisconsin(11/14/2024)
Exams
State Security Law Exam
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
LPL ENTERPRISE, LLC
CRD#: 8733Gurnee, IL 60031TRUST BUT VERIFY
Monitor Scott Davis
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
