Dean Scott

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
CO	RA	APPROVED	2024-02-20
TX	RA	APPROVED	2024-02-20

CO RA
APPROVED

Since 2024-02-20
TX RA
APPROVED

Since 2024-02-20

Branch Locations

Fulshear, TX • United States

101 Simonton St, Conroe, TX 77301 • United States

189 Talisman Dr Ste D, Pagosa Springs, CO 81147 • 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
Conocophillips	Houston	TX	02/2021	05/2023
Concho Resources	Midland	TX	06/2018	02/2021
Concho Resources	Midland	TX	05/2017	08/2017
Texas Christian University	Fort Worth	TX	08/2014	05/2018
Lpl Financial	Pagosa Springs	CO	05/2023	Present

02/2021 → 05/2023

Conocophillips

Houston, TX
06/2018 → 02/2021

Concho Resources

Midland, TX
05/2017 → 08/2017

Concho Resources

Midland, TX
08/2014 → 05/2018

Texas Christian University

Fort Worth, TX
05/2023 → Present

Lpl Financial

Pagosa Springs, CO

Other Businesses

1) 5/23/2023- Scott Strategic Investments LLC- DBA for LPL Business (entity for LPL business)- inv. related- At reported business location(s)- start date 05/01/2023 - 160 Hrs/Mth - 40 Hrs During Trading. 2) 03/21/2025 - SSI Minerals - Business Entity For Tax/Investment Purposes Only - None - Start Date:01/01/2018 - 0 Hrs/Mth - 0 Hrs During Trading. 3) 09/17/2025 - DSD Investments II LLC - Investment Related - Real Estate Rental - At Reported Business Location(s) - Start Date:07/28/2025 - 4 Hrs/Mth - 0 Hrs During Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2024-02-16

S66 Uniform Combined State Law Examination

2024-02-16

View on SEC IAPD