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Scot Nicholas Turvey

LPl Financial LLC

Orland Park, IL

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2024-07-02
TX RA APPROVED 2024-07-02
  • IL RA
    APPROVED
    Since 2024-07-02
  • TX RA
    APPROVED
    Since 2024-07-02

Branch Locations

14300 S. Ravinia Ave Ste 200, Orland Park, IL 60462 • 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
OrganizationCityStateFromTo
J.P. Morgan Securities Llc Romeoville IL 10/2012 07/2024
Lpl Financial Llc Orland Park IL 07/2024 Present
Previous Registrations
  • 2012-10-01 → 2024-07-03
    New Lenox, IL
    Romeoville, IL
    Romeoville, IL
    Romeoville, IL
    Channahon, IL
    Homer Glen, IL
    Romeoville, IL
    Morris, IL
    New Lenox, IL
    New Lenox, IL
    Morris, IL
    Channahon, IL
    Morris, IL
    Morris, IL
    Channahon, IL
    Morris, IL
  • 2011-09-01 → 2012-10-01
    Chase Investment Services Corp.
    New Lenox, IL
    Bolingbrook, IL
    Romeoville, IL
    Romeoville, IL
    Romeoville, IL
    Chicago, IL
Other Businesses

1. 07/02/2024 - Professional Wealth Advisors - DBA for LPL Business (entity for LPL business) - Inv Rel- At Reported Business Location (s) - Start date: 07/02/2024 - 160 Hrs/Mth - 0 Hrs During Trading. 2. 07/02/2024 - PWA - DBA for LPL Business (entity for LPL business) - Inv Rel- At Reported Business Location (s) - Start date: 07/02/2024 - 160 Hrs/Mth - 0 Hrs During Trading. 3. 07/02/2024 - Real Estate - Crest Hill, Il - Inv Rel - Start date: 11/1/2013 - 4 hrs per mnth 4. 07/02/2024- PWA Partners, LLC - DBA for LPL Business (entity for LPL business)- Inv Rel- At Reported Business Location (s) Start date: 07/02/2024 - 160 Hrs/Mth - 0 Hrs During Trading. 5. 01/13/2025 - Turvey Wealth Management LLC - Not Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date:01/01/2025 - 40 Hrs/Mth - 40 Hrs During Trading. 6. 06/17/2025 - Genesis Wealth LLC - Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date:07/01/2025 - 150 Hrs/Mth - 6 Hrs During Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-08-30
S63 Uniform Securities Agent State Law Examination 2005-08-09
  • S66 Uniform Combined State Law Examination
    2011-08-30
  • S63 Uniform Securities Agent State Law Examination
    2005-08-09
Designations
Other Names
  • Nick Turvey
  • Scot N Turvey

View on SEC IAPD

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