Scott Wiley

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

• 05/2015 → 09/2021
  City National Securities
  San Francisco, CA
• 09/2021 → 11/2023
  Comerica Bank
  San Francisco, CA
• 11/2023 → 08/2025
  Ameriprise Financial Services, Llc
  San Francisco, CA
• 08/2025 → Present
  Bmo Harris Bank
  San Francisco, CA
• 09/2025 → Present
  Lpl Financial Llc
  San Francisco, CA

Previous Registrations

• 2023-11-03 → 2025-09-04
  Ameriprise Financial Services, Llc
  San Francisco, CA
  San Rafael, CA
• 2021-10-04 → 2023-11-03
  Comerica Securities
  San Francisco, CA
• 2015-05-11 → 2021-10-06
  Rbc Securities, Inc
  San Francisco, CA
  Los Angeles, CA
  San Francisco, CA
• 2011-01-03 → 2013-06-12
  Wells Fargo Clearing Services, Llc
  Minneapolis, MN
  San Francisco, CA
  Charlotte, NC
• 2009-11-02 → 2011-01-03
  Wells Fargo Investments, Llc
  San Francisco, CA
• 2008-02-29 → 2009-11-03
  Wells Fargo Clearing Services, Llc
  San Leandro, CA
  Oakland, CA
  San Francisco, CA
• 2004-10-26 → 2008-01-15
  Wells Fargo Investments, Llc
  San Francisco, CA
  San Francisco, CA
• 2002-08-07 → 2004-08-17
  Citigroup Global Markets Inc.
  San Francisco, CA

Other Businesses

1) 09/2025 -Investment products and services are offered through LPL Financial LLC using the DBA/trade name BMO INVESTMENT SERVICES Inv Related / At reported business location (s)

Exams

• S63 Uniform Securities Agent State Law Examination
  2002-08-02
• S65 Uniform Investment Adviser Law Examination
  2002-07-24

Other Names

• Scott Warren Wiley