Scott M Caldwell

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
ID	RA	APPROVED	2021-07-21
MT	RA	APPROVED	2021-07-21
TX	RA	APPROVED	2021-07-21
WA	RA	APPROVED	2021-07-21

ID RA
APPROVED

Since 2021-07-21
MT RA
APPROVED

Since 2021-07-21
TX RA
APPROVED

Since 2021-07-21
WA RA
APPROVED

Since 2021-07-21

Branch Locations

909 Squalicum Way, Ste 110, Bellingham, WA 98225 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Waddell & Reed, Inc.	Bellingham	WA	07/2005	07/2021
Various Insurance Carriers For W & R Insurance Agencies	Bellingham	WA	07/2005	07/2021
Bellingham United	Bellingham	WA	01/2013	07/2021
Wcysa - Whatcom Sports Commission	Bellingham	WA	01/2012	07/2021
Mt Baker Chapter Of Shrm	Bellingham	WA	01/2012	07/2021
Wfc Rangers Soccer Club	Bellingham	WA	04/2013	07/2021
Scott Caldwell Llc	Bellingham	WA	05/2015	07/2021
Blue Skies For Children Non Profit	Bellingham	WA	08/2016	07/2021
Junior Achievement Nw Washington	Bellingham	WA	08/2016	07/2021
Wfc Rangers Soccer	Bellingham	WA	09/2016	09/2017
The Bellingham Team	Bellingham	WA	08/2018	07/2021
Happy Rentals Llc	Bellingham	WA	05/2020	07/2021
Lpl Financial Llc	Bellingham	WA	07/2021	Present

07/2005 → 07/2021

Waddell & Reed, Inc.

Bellingham, WA
07/2005 → 07/2021

Various Insurance Carriers For W & R Insurance Agencies

Bellingham, WA
01/2013 → 07/2021

Bellingham United

Bellingham, WA
01/2012 → 07/2021

Wcysa - Whatcom Sports Commission

Bellingham, WA
01/2012 → 07/2021

Mt Baker Chapter Of Shrm

Bellingham, WA
04/2013 → 07/2021

Wfc Rangers Soccer Club

Bellingham, WA
05/2015 → 07/2021

Scott Caldwell Llc

Bellingham, WA
08/2016 → 07/2021

Blue Skies For Children Non Profit

Bellingham, WA
08/2016 → 07/2021

Junior Achievement Nw Washington

Bellingham, WA
09/2016 → 09/2017

Wfc Rangers Soccer

Bellingham, WA
08/2018 → 07/2021

The Bellingham Team

Bellingham, WA
05/2020 → 07/2021

Happy Rentals Llc

Bellingham, WA
07/2021 → Present

Lpl Financial Llc

Bellingham, WA

Previous Registrations

2005-08-01 → 2021-07-21

Waddell & Reed

Bellingham, WA

Seattle, WA

Bellingham, WA
2005-02-25 → 2005-07-26

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Bellingham, WA

Other Businesses

1. 08/20/2021 - Consilium Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 05/18/2021 2. 08/20/2021 - The Bellingham Team LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date - 2019 3. 08/20/2021 - Happy Renters LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date - 2020 4. 3/27/2023 - Consilium Financial - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date - 03/01/2023 - 2 Hours Per Month/2 Hours During Securities Tradi

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-02-24

S66 Uniform Combined State Law Examination

2005-02-24

Other Names

Scott Caldwell

View on SEC IAPD