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William Scott Thompson

LPl Financial LLC

Dayton, OH

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2020-07-14
  • OH RA
    APPROVED
    Since 2020-07-14

Branch Locations

Dayton, OH • 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
Lpl Financial Llc Dayton OH 09/2015 Present
Private Advisor Group, Llc Morristown NJ 10/2015 01/2021
Previous Registrations
  • 2015-10-13 → 2021-01-15
    Private Advisor Group, Llc
    Mason, OH
    Morristown, NJ
    Dayton, OH
  • 2015-01-30 → 2015-10-08
    Stonex Advisors Inc.
    Birmingham, AL
  • 2000-10-03 → 2015-01-30
    Wrp Investments, Inc.
    Mason, OH
    Youngstown, OH
    Youngstown, OH
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-07-14
S63 Uniform Securities Agent State Law Examination 1986-02-11
  • S65 Uniform Investment Adviser Law Examination
    2005-07-14
  • S63 Uniform Securities Agent State Law Examination
    1986-02-11
Other Names
  • Scott Thompson

View on SEC IAPD

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