Scott Lester Caldwell

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
TX	RA	APPROVED_RES	2018-06-27
CA	RA	APPROVED	2001-05-04

TX RA
APPROVED_RES

Since 2018-06-27
CA RA
APPROVED

Since 2001-05-04

Branch Locations

Greenbrae, CA • 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 Yes
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 (Formerly: Linsco Private Ledger)	Greenbrae	CA	09/2000	Present

09/2000 → Present

Lpl Financial, Llc (Formerly: Linsco Private Ledger)

Greenbrae, CA

Other Businesses

1. 1/20/2004 - CALDWELL FINANCIAL SERVICES - INVESTMENT RELATED - AT REPORTED BUSINESS LOCATION(S) - NON-VARIABLE INSURANCE DBA 2. 12/31/2012: SWEETWATER FARM LP - INVESTMENT RELATED - AT REPORTED BUSINESS LOCATION(S) - ACT IN A FIDUCIARY CAPACITY - TIME SPENT 5% - WITH BROTHER JAMES M CALDWELL, JR, ACTING AS MANAGERS OF AN LPL ACCOUNT SET UP AS A LIMITED PARTNERSHIP FOR TAX PURPOSES.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-03-07
S63	Uniform Securities Agent State Law Examination	1992-04-24

S66 Uniform Combined State Law Examination

2001-03-07
S63 Uniform Securities Agent State Law Examination

1992-04-24

View on SEC IAPD