Scott Alan Ferguson

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2013 → 12/2017
  Lpl Financial Llc
  Halfmoon, NY
• 01/2018 → 07/2025
  Cadaret, Grant & Co., Inc.
  Clifton Park, NY
• 07/2025 → Present
  Lpl Financial Llc
  Clifton Park, NY

Previous Registrations

• 2021-05-04 → 2025-07-10
  Cadaret, Grant & Co., Inc.
  Clifton Park, NY
  Latham, NY
• 2009-01-02 → 2011-12-31
  Raymond James Financial Services Advisors, Inc
  Latham, NY
• 2005-07-08 → 2009-01-02
  Raymond James Financial Services, Inc.
  Kingston, NY
  Latham, NY
  Syracuse, NY

Other Businesses

1- 07/2025 - Shipp Financial - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 01/01/2018 - 1 hour per month/ 0 hours during trading 2- 07/2025 - Champlain Capital Planning, Ltd - Business Entity For Tax/Investment Purposes Only - Investment Related - At Reported Business Location(s) - Start Date 07/01/1997 - 160 hours per month/ 130 hours during trading 3- 07/2025 - Sage Financial Associates - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 07/01/1997 - 160 hours per month/ 130 hours during trading

Exams

• S63 Uniform Securities Agent State Law Examination
  1994-09-13