Scott Ari Shaw

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

• 09/2005 → 08/2018
  Ameriprise Financial Services, Inc.
  Philadelphia, PA
• 08/2018 → Present
  Lpl Financial Llc
  Philadelphia, PA

Previous Registrations

• 2002-06-28 → 2018-08-22
  Ameriprise Financial Services, Llc
  Philadelphia, PA
  Marlton, NJ
  Marlton, NJ
  Marlton, NJ

Other Businesses

1) 08/10/2018 - Mainline Wealth Management - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 08/2018 - 200 hr/mth 2) 08/10/2018 - Utain Family Legacy Trust - Act in a Fiduciary Capacity - inv rel - Warminster, PA - start: 01/20010 3) 08/10/2018 - M&S Investments LLC - Business Entity For Tax/Investment Purposes Only - inv rel - Philadelphis, PA - start: 01/2007 4) 9/1/2020 - Bash Capital - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 9/15/2020 - 50 Hours Per Month/50 Hours During Securities Trading. 5) 04/01/2022- ABC LLC - Not Investment Related - Pennsylvania - Other - Business Owner - Limited Partner - Start Date - 03/15/2022 - 8 Hours Per Month/ 0 Hours During Securities Trading.

Exams

• S66 Uniform Combined State Law Examination
  2001-10-12