SV
Scott Vander Veen
LPL ENTERPRISE
SOUTHBOROUGH, MA 01772
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CRD#: 6564639
SV
Scott Vander VeenLPL ENTERPRISE
Professional summary
Scott Vander Veen, who also goes by Scott R Vanderveen, Scott Richard Vander Veen, Scott Vanderveen, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Southborough, Massachusetts.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Scott has worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Aliases
Scott R Vanderveen | Scott Richard Vander Veen | Scott Vanderveen
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. 08/11/2026 - Scott Vander Veen, N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Southampton, MA – Inv Related – OBA Start Date: 08/07/2026 – 160 Hour(s)/Month – 160 Hour(s) During Trading”� 2. 07/17/2026 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - Southampton MA - Inv Related – OBA Start Date: 07/09/2026 – 160 Hour(s)/Month – 160 Hour(s) During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Scott Vander Veen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Scott Vander Veen'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
August 11, 2026 - Present
LPL ENTERPRISE, LLC
Office #1: 257 Turnpike Rd Suite 300, Southborough, MA 01772RIA
BD
CRD#: 8733
SOUTHBOROUGH, MA
Current
August 11, 2026 - Present
LPL ENTERPRISE, LLC
Office #1: 257 Turnpike Rd Suite 300, Southborough, MA 01772RIA
BD
CRD#: 8733
SOUTHBOROUGH, MA
Past
May 15, 2026 - August 17, 2026
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
February 17, 2026 - April 27, 2026
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
SPRINGFIELD, MA
Past
October 20, 2022 - April 27, 2026
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
June 14, 2019 - April 28, 2021
MML STRATEGIC DISTRIBUTORS, LLC
BD
CRD#: 168638
SPRINGFIELD, MA
Past
June 14, 2019 - April 28, 2021
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
January 5, 2017 - June 12, 2018
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
INDIANAPOLIS, IN
Past
February 25, 2016 - April 26, 2016
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
INDIANAPOLIS, IN
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
Alabama(8/11/2026)
RR
Alaska(8/11/2026)
RR
Arizona(8/11/2026)
RR
Arkansas(8/11/2026)
RR
California(8/11/2026)
RR
Colorado(8/11/2026)
RR
Connecticut(8/11/2026)
RR
Delaware(8/11/2026)
RR
District of Columbia(8/11/2026)
RR
Florida(8/11/2026)
RR
Georgia(8/11/2026)
RR
Hawaii(8/11/2026)
RR
Idaho(8/11/2026)
RR
Illinois(8/11/2026)
RR
Indiana(8/11/2026)
RR
Iowa(8/11/2026)
RR
Kansas(8/11/2026)
RR
Kentucky(8/11/2026)
RR
Louisiana(8/11/2026)
RR
Maine(8/11/2026)
RR
Maryland(8/11/2026)
RR
Massachusetts(8/11/2026)
RR
Michigan(8/11/2026)
RR
Minnesota(8/11/2026)
RR
Mississippi(8/11/2026)
RR
Missouri(8/11/2026)
RR
Montana(8/11/2026)
RR
Nebraska(8/11/2026)
RR
Nevada(8/11/2026)
RR
New Hampshire(8/11/2026)
RR
New Jersey(8/11/2026)
RR
New Mexico(8/11/2026)
RR
New York(8/11/2026)
RR
North Carolina(8/11/2026)
RR
North Dakota(8/11/2026)
RR
Ohio(8/11/2026)
RR
Oklahoma(8/11/2026)
RR
Oregon(8/11/2026)
RR
Pennsylvania(8/11/2026)
RR
Rhode Island(8/11/2026)
RR
South Carolina(8/11/2026)
RR
South Dakota(8/11/2026)
RR
Tennessee(8/11/2026)
RR
Texas(8/11/2026)
IAR
Texas(8/11/2026)
RR
Utah(8/11/2026)
RR
Vermont(8/11/2026)
RR
Virginia(8/11/2026)
RR
Washington(8/11/2026)
RR
West Virginia(8/11/2026)
RR
Wisconsin(8/11/2026)
RR
Wyoming(8/11/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/8/2024
General Securities Representative ExaminationGeneral 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 |
| 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 | 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#: 8733Southborough, MA 01772TRUST BUT VERIFY
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