Scott Andrew Phelps

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

• 05/2009 → 11/2016
  Wells Fargo Advisors Llc
  Norwalk, CT
• 11/2016 → 11/2025
  Wells Fargo Clearing Services, Llc
  Norwalk, CT
• 01/2026 → Present
  Lpl Financial
  New York, NY

Previous Registrations

• 2008-01-01 → 2025-12-17
  Wells Fargo Clearing Services, Llc
  Westport, CT
  Norwalk, CT
• 1997-08-27 → 2008-01-01
  A. G. Edwards & Sons, Inc.
  Norwalk, CT
  Norwalk, CT
  St. Louis, MO

Other Businesses

1- 12/2025 / Walnut Beech Advisors / DBA for LPL Business (entity for LPL business) / Investment Rltd / 160 hrs mnth / 130 hrs during trading / at rprt loc / start 12/05/2025

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-05-30
• S63 Uniform Securities Agent State Law Examination
  1987-06-25