Frederick Scott Lowe

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:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-08-03
NC	RA	APPROVED	2021-02-01
MD	RA	APPROVED	2019-10-21

NY RA
APPROVED

Since 2021-08-03
NC RA
APPROVED

Since 2021-02-01
MD RA
APPROVED

Since 2019-10-21

Branch Locations

Hammondsport, NY • United States

Carolina Beach, NC • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Investors Capital Corp	Lynnfield	MA	03/2010	10/2016
Cetera Advisors Llc	Denver	CO	10/2016	09/2019
Fsl Advisors Inc	Carolina Beach	NC	04/2010	Present
Lpl Financial Llc	Carolina Beach	NC	10/2019	Present

03/2010 → 10/2016

Investors Capital Corp

Lynnfield, MA
10/2016 → 09/2019

Cetera Advisors Llc

Denver, CO
04/2010 → Present

Fsl Advisors Inc

Carolina Beach, NC
10/2019 → Present

Lpl Financial Llc

Carolina Beach, NC

Previous Registrations

2016-10-03 → 2019-10-22

Cetera Advisors Llc

Westminster, MD
2010-03-05 → 2016-10-03

Investors Capital Corp.

Lynnfield, MA

Lynnfield, MA

Westminster, MD

Greenville, SC

Lynnfield, MA
2006-04-21 → 2010-03-12

Ubs Financial Services Inc.

Hunt Valley, MD
2000-09-18 → 2006-04-24

A. G. Edwards & Sons, Inc.

Hunt Valley, MD

Other Businesses

1)08/27/2019 - FSL ADVISORS INC - DBA for LPL Business (entity for LPL business)- inv rel - at reported business location(s) - start: 09/2019 - 150 hr/mth 2)09/07/2022 - No Business Name - Not Investment Related - At Reported Business Location(s) - Real Estate Rental - Start Date - 05/15/2022 - 0 Hours Per Month/0 Hours During Securities Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2000-05-31
S63	Uniform Securities Agent State Law Examination	1997-04-29

S66 Uniform Combined State Law Examination

2000-05-31
S63 Uniform Securities Agent State Law Examination

1997-04-29

Other Names

Rick Lowe

View on SEC IAPD