Ute Scott-Smith

Current Employers

Employment History

• 11/2003 → 08/2017
  Financial West Group
  Westlake Village, CA
• 06/2004 → 11/2022
  The Social Equity Group, Inc.
  San Francisco, CA
• 08/2017 → 06/2025
  Western International Securities, Inc.
  Pasadena, CA
• 07/2023 → 06/2025
  The Social Equity Group, Inc.
  San Francisco, CA
• 06/2025 → Present
  Lpl Financial Llc
  Santa Rosa, CA

Previous Registrations

• 2023-07-18 → 2025-12-23
  The Social Equity Group, Inc.
  San Francisco, CA
• 2017-08-21 → 2025-06-05
  Western International Securities, Inc.
  Santa Rosa, CA
  Petaluma, CA
  Campbell, CA
• 2004-06-23 → 2023-07-14
  The Social Equity Group, Inc.
  San Francisco, CA
• 2004-04-26 → 2017-08-21
  Financial West Group
  Sebastopol, CA
  Santa Rosa, CA
  Portland, OR

Other Businesses

1. 06/05/2025- Green Leap Financial- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 06/08/2025- 160 Hours Per Month- 160 Hours During Trading 2. 06/05/2025- Redwood Rainbows Square Dancing Club- Non-Profit Board Member- INV Related- Sebastopol, CA - Start date 04/01/2025- 5 Hours Per Month/ 0 hours during trading 3. 05/22/2026 - Green Leap Financial, INC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - Graton, CA - Start Date 04/01/2026 - 160 hours per month/ 20 hours during trading

Exams

• S66 Uniform Combined State Law Examination
  2003-12-11

Designations

Other Names

• Ute Wasum