Anthony J. Scola

LPL ENTERPRISE

SOUTHBOROUGH, MA 01772

CRD#: 4074394

Some features on this profile are disabled

Professional summary

Anthony Joseph Scola, who also goes by Anthony J Scola, Tony Scola, Tony J Scola, is a registered financial professional currently at LPL ENTERPRISE, LLC located in Southborough, Massachusetts.

Anthony is registered as a RR (Registered Representative) and started their career in finance in 1999. Anthony has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Anthony J Scola | Tony Scola | Tony J Scola

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 Anthony Joseph Scola'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

June 23, 2026 - Present

LPL ENTERPRISE, LLC

Office #1: 257 Turnpike Rd Suite 300, Southborough, MA 01772

RIA

CRD#: 8733

SOUTHBOROUGH, MA

Past

July 3, 2025 - June 22, 2026

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

NORWELL, MA

Past

June 20, 2025 - June 22, 2026

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

NORWELL, MA

Past

September 1, 2023 - June 24, 2025

OSAIC WEALTH, INC.

RIA

CRD#: 23131

BEDFORD, NH

Past

September 1, 2023 - June 24, 2025

OSAIC WEALTH, INC.

CRD#: 23131

BEDFORD, NH

Past

December 15, 2020 - September 1, 2023

OSAIC SERVICES, INC.

RIA

CRD#: 133763

BEDFORD, NH

Past

December 14, 2020 - September 1, 2023

OSAIC SERVICES, INC.

CRD#: 133763

BEDFORD, NH

Past

December 26, 2018 - November 13, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

HANOVER, NH

Past

December 19, 2018 - November 13, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

HANOVER, NH

Past

September 16, 2014 - November 29, 2018

OSAIC INSTITUTIONS, INC.

RIA

CRD#: 35371

Keene, NH

Past

September 15, 2014 - November 29, 2018

OSAIC INSTITUTIONS, INC.

CRD#: 35371

Keene, NH

Past

December 13, 2012 - January 10, 2013

MASCOMA SAVINGS BANK, FSB DBA MASCOMA WEALTH MANAGEMENT

RIA

CRD#: 115812

LEBANON, NH

Past

December 8, 2010 - September 16, 2014

LPL FINANCIAL LLC

RIA

CRD#: 6413

LEBANON, NH

Past

December 8, 2010 - September 16, 2014

LPL FINANCIAL LLC

CRD#: 6413

LEBANON, NH

Past

July 27, 2007 - October 22, 2009

LPL FINANCIAL LLC

RIA

CRD#: 6413

WARNER, NH

Past

July 19, 2007 - October 22, 2009

LPL FINANCIAL LLC

CRD#: 6413

WARNER, NH

Past

February 6, 2006 - May 13, 2010

NORTHEAST PLANNING ASSOCIATES, INC.

RIA

CRD#: 131406

BEDFORD, NH

Past

January 26, 2006 - December 31, 2007

MUTUAL SERVICE CORPORATION

CRD#: 4806

WARNER, NH

Past

August 4, 2004 - February 9, 2006

USALLIANZ SECURITIES, INC.

RIA

CRD#: 40875

WARNER, NH

Past

January 2, 2002 - February 9, 2006

USALLIANZ SECURITIES, INC.

CRD#: 40875

MINNEAPOLIS, MN

Past

January 12, 2001 - November 9, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

December 17, 1999 - November 2, 2000

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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

Florida
(6/23/2026)

Massachusetts
(6/24/2026)

New Hampshire
(6/23/2026)

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

IAR

Series 65

Date: 2/2/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/28/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/10/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/16/1999

Investment Company Products/Variable Contracts Representative 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)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

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)

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.

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Anthony J. Scola

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Anthony Joseph Scola's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

OSAIC INSTITUTIONS, INC.

OSAIC INSTITUTIONS, INC.

MASCOMA SAVINGS BANK, FSB DBA MASCOMA WEALTH MANAGEMENT

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

NORTHEAST PLANNING ASSOCIATES, INC.

MUTUAL SERVICE CORPORATION

USALLIANZ SECURITIES, INC.

USALLIANZ SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/2/2001

Series 63

Date: 12/28/1999

SIE

Date: 10/1/2018

Series 7

Date: 1/10/2001

Series 6

Date: 12/16/1999

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

Similar Advisors