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Scott Kevin Jones

LPl Financial LLC

Huntington Beach, CA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-11-29
CA RA APPROVED 2010-01-28
  • TX RA
    APPROVED_RES
    Since 2021-11-29
  • CA RA
    APPROVED
    Since 2010-01-28

Branch Locations

15061 Springdale St Ste 104, Huntington Beach, CA 92649 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Huntington Beach CA 01/2010 Present
  • 01/2010 → Present
    Lpl Financial
    Huntington Beach, CA
Previous Registrations
  • 2009-05-02 → 2010-01-29
    Chase Investment Services Corp.
    Westminster, CA
    Huntington Beach, CA
  • 2008-06-30 → 2009-05-02
    Wamu Investments, Inc.
    Westminster, CA
    Huntington Beach, CA
    Los Alamitos, CA
    Westminster, CA
    Westminster, CA
    Huntington Beach, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-06-26
S63 Uniform Securities Agent State Law Examination 1998-08-03
  • S66 Uniform Combined State Law Examination
    2008-06-26
  • S63 Uniform Securities Agent State Law Examination
    1998-08-03
Other Names
  • Scott Kevin Jones

View on SEC IAPD

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AE WEALTH MANAGEMENT, LLC
INTEGRATED WEALTH CONCEPTS LLC
THRIVENT INVESTMENT MANAGEMENT INC.
YOUR PRIVATE CLIENT GROUP, INC.

Other Investors

Michael Steven Conway
CRAIG ALLEN DAVIS
Anthony Labarba
Anthony McGee
John Elliott
TOM TOSHIYUKI TERAOKA
KENNETH KENJI TANAKA
Douglas Scott Gahn

Other Offices

LPL FINANCIAL LLC · HUNTINGTON BEACH, CA
J.P. MORGAN SECURITIES LLC · HUNTINGTON BEACH, CA
CETERA INVESTMENT ADVISERS LLC · HUNTINGTON BEACH, CA
SIMPLICITY WEALTH · Huntington Beach, CA
WELLS FARGO CLEARING SERVICES, LLC · HUNTINGTON BEACH, CA
AE WEALTH MANAGEMENT, LLC · HUNTINGTON BEACH, CA
INTEGRATED WEALTH CONCEPTS LLC · HUNTINGTON BEACH, CA
THRIVENT INVESTMENT MANAGEMENT INC. · HUNTINGTON BEACH, CA

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