Scott Martin Gerstein

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2018-09-24

TX RA
APPROVED_RES

Since 2018-09-24

Branch Locations

Scottsdale, AZ • 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
Linsco Private Ledger	Scottsdale	AZ	07/2006	Present

07/2006 → Present

Linsco Private Ledger

Scottsdale, AZ

Previous Registrations

2001-07-12 → 2006-09-21

Midsouth Capital, Inc.

Atlanta, GA

Scottsdale, AZ

Other Businesses

1) 07/27/2006-I HAVE A JD FROM CHICAGO-KENT COLLEGE OF LAW. I AM PRESENTLY NOT A PRACTICING ATTORNEY AND DO NOT PLAN ON ENGAGING IN ANY SUCH ACTIVITIES WHILE AFFILIATED WITH LPL. 0 TIME SPENT NO INCOME

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-05-06
S63	Uniform Securities Agent State Law Examination	1992-08-20

S65 Uniform Investment Adviser Law Examination

1993-05-06
S63 Uniform Securities Agent State Law Examination

1992-08-20

View on SEC IAPD