Gary Allen Scott

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
OH	RA	APPROVED	2024-12-06
TX	RA	APPROVED	2023-05-10

OH RA
APPROVED

Since 2024-12-06
TX RA
APPROVED

Since 2023-05-10

Branch Locations

Kettering, OH • 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 Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Oppenheimerfunds	Denver	CO	03/2016	06/2017
Resources Investment Advisors	Overland Park	KS	06/2017	03/2018
Triad Advisors, Inc.	Norcross	GA	06/2017	03/2018
Cutter And Company	Ballwin	MO	04/2018	11/2019
Blattel & Associates	St. Peters	MO	04/2018	11/2019
Woodbury Financial Services Inc	Saint Peters	MO	11/2019	08/2020
E*Trade Securities Llc	Centennial	CO	08/2020	11/2020
E*Trade Capital Management Llc	Centennial	CO	08/2020	11/2020
E*Trade Securities Llc	Greenwood Village	CO	11/2020	07/2022
E*Trade Capital Management Llc	Greenwood Village	CO	11/2020	07/2022
Lpl Financial Llc	Aurora	CO	07/2022	Present

03/2016 → 06/2017

Oppenheimerfunds

Denver, CO
06/2017 → 03/2018

Resources Investment Advisors

Overland Park, KS
06/2017 → 03/2018

Triad Advisors, Inc.

Norcross, GA
04/2018 → 11/2019

Cutter And Company

Ballwin, MO
04/2018 → 11/2019

Blattel & Associates

St. Peters, MO
11/2019 → 08/2020

Woodbury Financial Services Inc

Saint Peters, MO
08/2020 → 11/2020

E*Trade Securities Llc

Centennial, CO
08/2020 → 11/2020

E*Trade Capital Management Llc

Centennial, CO
11/2020 → 07/2022

E*Trade Securities Llc

Greenwood Village, CO
11/2020 → 07/2022

E*Trade Capital Management Llc

Greenwood Village, CO
07/2022 → Present

Lpl Financial Llc

Aurora, CO

Previous Registrations

2020-09-10 → 2022-07-28

Harrisdirect Llc

Denver, CO

Denver, CO

Arlington, VA

Centennial, CO

Greenwood Village, CO
2019-11-18 → 2020-08-12

Woodbury Financial Services, Inc.

Saint Peters, MO
2018-04-26 → 2019-11-15

Cutter & Company, Inc.

St. Peters, MO
2017-06-13 → 2018-04-27

Onedigital

Greenwood Village, CO

Overland Park, KS
2015-11-05 → 2016-03-14

Curian Capital, Llc

Denver, CO
2012-11-29 → 2013-12-02

Lpl Financial Llc

Signal Hill, CA

Other Businesses

1) 06/08/2022 - Big Picture Financial Group - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 2) 09/08/2023 - Non-Variable Insurance - Broker - Investment Related - At Reported Business Location(s) - Start Date 08/31/2023 - 1 Hour Per Month/ 0 Hours During Trading 3) 11/21/2024 - Upstream Tax Partners - Tax Prep/Accounting/CPA - Associate - Investment Related - At Reported Business Location(s) - Start Date 10/31/2024 - 10 Hours Per Month/ 0 Hours During Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2012-11-28

S66 Uniform Combined State Law Examination

2012-11-28

View on SEC IAPD