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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2023-11-09
  • CT RA
    APPROVED
    Since 2023-11-09

Branch Locations

121 Samson Rock Drive #2E, Madison, CT 06443 • 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
OrganizationCityStateFromTo
Broker's Central Montebello NY 04/2016 08/2017
Wealthvest Bozeman MT 11/2016 08/2017
Edward Jones St. Louis MO 09/2017 11/2023
Lpl Financial Llc Madison CT 11/2023 Present
  • 04/2016 → 08/2017
    Broker's Central
    Montebello, NY
  • 11/2016 → 08/2017
    Wealthvest
    Bozeman, MT
  • 09/2017 → 11/2023
    St. Louis, MO
  • 11/2023 → Present
    Madison, CT
Previous Registrations
  • 2017-09-22 → 2023-11-09
    West Haven, CT
    New Haven, CT
  • 2007-08-21 → 2008-11-07
    Uvest Financial Services Group, Inc.
    Danbury, CT
    Stamford, CT
    Stamford, CT
    New Canaan, CT
    Wilton, CT
    Darien, CT
    Stamford, CT
    Danbury, CT
  • 2005-03-09 → 2005-12-02
    Essex National Securities, Llc
    Brooklyn, NY
  • 2004-10-20 → 2005-02-18
    Banc Of America Investment Services, Inc.
    Westport, CT
  • 2004-05-25 → 2004-10-20
    Quick & Reilly, Inc.
    Stamford, CT
Other Businesses

1) 11/2023 - Gateway Financial Partners / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s)160 Hrs per month / 100% Time Spent 2) 11/2023 - Seaview Wealth Advisors LLC / Owner / Business Entity For Tax/Investment Purposes Only / Not Inv, Related / Start date 10/24/2023 - 3) 04/10/2025 - Griffin Distribution Partners - Investment Related - Non-Variable Insurance - At Reported Business Location(s) - 5 Hrs/Mth - 5 Hrs During Trading- Start Date:04/14/2025

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-09-20
S63 Uniform Securities Agent State Law Examination 2013-05-23
S65 Uniform Investment Adviser Law Examination 2004-05-25
  • S66 Uniform Combined State Law Examination
    2017-09-20
  • S63 Uniform Securities Agent State Law Examination
    2013-05-23
  • S65 Uniform Investment Adviser Law Examination
    2004-05-25
Other Names
  • Paul H Schott
  • Paul H Schott
  • Paul Henry Schott

View on SEC IAPD

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