Scott A Stanley

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
WA	RA	APPROVED	2026-01-13
TX	RA	APPROVED_RES	2015-09-18
CA	RA	APPROVED	2013-01-10

WA RA
APPROVED

Since 2026-01-13
TX RA
APPROVED_RES

Since 2015-09-18
CA RA
APPROVED

Since 2013-01-10

Branch Locations

Bainbridge Island, WA • 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
Lpl Financial Llc	Novato	CA	09/2012	Present

09/2012 → Present

Lpl Financial Llc

Novato, CA

Other Businesses

(1) 07/15/2016: Pharos Wealth Management - DBA for LPL Business (entity for LPL business) - Pharos Wealth Management - INV REL - Start 07/14/2016 - 1 Harbor Drive, Suite 300 Sausalito, CA 94965 - General wealth management services like portfolio management, investment advice, and financial planning. There will be no other businesses or services advertised under this name other than LPL Financial securities business. No one but me (Scott Stanley) has interest in this entity. This name is not registered as an insurance agency. This name is not an RIA. - 240 Hr/Mo; 130 Hours During Securities Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-01-08

S66 Uniform Combined State Law Examination

2013-01-08

Designations

Certified Financial Planner

View on SEC IAPD