Carolyn Joyce Shott

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2004 → Present
  Carolyn J. Shott, Cpa, Inc
  Palm Bay, FL
• 04/2013 → 05/2024
  Lincoln Financial Securities Corporation
  Palm Bay, FL
• 05/2024 → Present
  Lpl Financial Llc
  Palm Bay, FL

Previous Registrations

• 2013-05-08 → 2024-05-20
  Osaic Fs, Inc.
  Palm Bay, FL
  Palm Bay, FL
  Corona, CA
• 2009-06-01 → 2013-03-26
  Raymond James Financial Services Advisors, Inc
  Melbourne, FL
• 2006-05-31 → 2009-10-10
  Raymond James Financial Services, Inc.
  Melbourne, FL
• 2003-01-29 → 2006-06-07
  1St Global Advisors Inc
  Palm Bay, FL

Other Businesses

1) 05/03/2024 - Carolyn J Shott, CPA, Inc. - Tax Prep/Accounting/CPA - President/Owner - FL 32907 - Investment related - 8 Hours per month - Start date: 07/01/2004. 2) 05/08/2024 - Shott Financial Solutions, LLC - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 160 Hours per month.

Exams

• S66 Uniform Combined State Law Examination
  2002-10-17
• S65 Uniform Investment Adviser Law Examination
  1999-06-29

Other Names

• Carolyn Joyce Shott
• Carolyn Shott