Paul J. Scott
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Paul Jack Scott was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1978. Paul had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2018 - August 20, 2020
LPL FINANCIAL LLC
February 14, 2018 - August 20, 2020
LPL FINANCIAL LLC
June 15, 2010 - February 14, 2018
INVEST FINANCIAL CORPORATION
May 25, 2010 - February 14, 2018
INVEST FINANCIAL CORPORATION
January 2, 2009 - May 10, 2010
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 25, 2004 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 4, 1999 - May 10, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 23, 1995 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
June 5, 1991 - October 31, 1995
MORGAN KEEGAN & COMPANY, LLC
May 23, 1990 - June 11, 1991
PROGRESSIVE CAPITAL SECURITIES CORPORATION
December 1, 1987 - May 22, 1990
UNION PLANTERS INVESTMENT BANKERS GROUP, INC.
July 22, 1986 - December 7, 1987
BRENNER STEED, INC.
June 21, 1984 - July 25, 1986
MORGAN STANLEY DW INC.
June 9, 1983 - May 17, 1984
PARK, RYAN, INC.
February 8, 1982 - July 20, 1982
BOLTON FINANCIAL SERVICES, LLC
March 23, 1981 - November 6, 1981
WADDELL & REED
March 22, 1978 - March 30, 1978
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 3/9/1978
Registered Representative ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
