Scott A Clayton

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 → 02/2020
  Metlife Securities
  Chicago, IL
• 07/2016 → 02/2020
  Massachusetts Mutual Life Insurance Company
  Springfield, MA
• 03/2017 → 02/2020
  Mml Investors Services, Llc
  Chicago, IL
• 03/2020 → 07/2021
  Lpl Financial Llc
  Downers Grove, IL
• 09/2021 → Present
  Lpl Financial Llc
  Chicago, IL
• 09/2021 → Present
  Bmo Bank Na
  Chicago, IL

Previous Registrations

• 2020-03-02 → 2021-07-30
  Lpl Financial Llc
  Downers Grove, IL
• 2017-03-25 → 2020-03-03
  Mml Investors Services, Llc
  Chicago, IL
• 2015-05-29 → 2017-03-25
  Msi Financial Services, Inc.
  Chicago, IL
• 2014-01-02 → 2015-06-08
  Fsc Securities Corporation
  Flossmoor, IL
• 2011-08-11 → 2013-12-23
  Equitable Advisors, Llc
  Oak Brook, IL
  Chicago, IL
  Oak Brook, IL

Other Businesses

1)09/22/2021 - BMO Investment Services - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 2)09/22/2021 - BMO BANK NA - Financial Institution Duty - Inv Rel - At Reported Business Location(s) - Start: 09/2021 - 160 Hr/Mth

Exams

• S66 Uniform Combined State Law Examination
  2011-06-16

Designations

• Certified Financial Planner

Other Names

• Scott Clayton