Scott Allen Thompson

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	2021-06-01
PA	RA	APPROVED	2021-05-28

TX RA
APPROVED_RES

Since 2021-06-01
PA RA
APPROVED

Since 2021-05-28

Branch Locations

3703 Peters Mountain Rd, Halifax, PA 17032 • 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
Mml Investors Services, Llc	Mechanicsburg	PA	03/2017	05/2021
Massachusetts Mutual Life Insurance Company	Mechanicsburg	PA	07/2016	05/2021
Lpl Financial Llc	Dauphin	PA	05/2021	Present

03/2017 → 05/2021

Mml Investors Services, Llc

Mechanicsburg, PA
07/2016 → 05/2021

Massachusetts Mutual Life Insurance Company

Mechanicsburg, PA
05/2021 → Present

Lpl Financial Llc

Dauphin, PA

Previous Registrations

2017-03-25 → 2021-06-03

Mml Investors Services, Llc

Dauphin, PA

Allentown, PA

Mechanicsburg, PA
2007-11-02 → 2017-03-25

Msi Financial Services, Inc.

Dauphin, PA

Dauphin, PA

Lewisburg, PA

Camp Hill, PA

Other Businesses

1) 5/2021 - DBA for LPL Business (entity for LPL business) - STP Premier Financial Group - Investment Related - Dauphin, PA 17018 2) 2011 - Non-Variable Insurance - Scott Thompson - Investment Related - Dauphin, PA 17018

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1986-06-11

S63 Uniform Securities Agent State Law Examination

1986-06-11

View on SEC IAPD