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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

Scott Wiley

Advisor at LPL FINANCIAL LLC

SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:15b23106-684e-1ace-0ed5-2b18eb3b7df4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Aug 7, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 24, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Jul 24, 2002
First registration: Aug 7, 2002
Dual registered: yes, broker-dealer
Other names: SCOTT WARREN WILEY
IAPD individual key: 4547791

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Sep 19, 2025	n/a	yes	SAN FRANCISCO, CA	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Nov 3, 2023	Sep 4, 2025	no	San Francisco, CA\|San Rafael, CA	Previous registration
COMERICA SECURITIES	Former SEC adviser	Oct 4, 2021	Nov 3, 2023	no	SAN FRANCISCO, CA	Previous registration
RBC SECURITIES, INC.	Bd affiliated wealth	May 11, 2015	Oct 6, 2021	no	SAN FRANCISCO, CA\|LOS ANGELES, CA\|SAN FRANCISCO, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 3, 2011	Jun 12, 2013	no	MINNEAPOLIS, MN\|SAN FRANCISCO, CA\|CHARLOTTE, NC	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Nov 2, 2009	Jan 3, 2011	no	SAN FRANCISCO, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Feb 29, 2008	Nov 3, 2009	no	SAN LEANDRO, CA\|OAKLAND, CA\|SAN FRANCISCO, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Oct 26, 2004	Jan 15, 2008	no	SAN FRANCISCO, CA\|SAN FRANCISCO, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Aug 7, 2002	Aug 17, 2004	no	SAN FRANCISCO, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AMERIPRISE FINANCIAL SERVICES, LLC	LPL FINANCIAL LLC	Sep 4, 2025	Sep 19, 2025	15	Firm change	Ibd to ibd
COMERICA SECURITIES	AMERIPRISE FINANCIAL SERVICES, LLC	Nov 3, 2023	Nov 3, 2023	0	Bulk transfer	RIA to ibd
RBC SECURITIES, INC.	COMERICA SECURITIES	Oct 6, 2021	Oct 4, 2021	-2	Firm change	Other
WELLS FARGO ADVISORS	RBC SECURITIES, INC.	Jun 12, 2013	May 11, 2015	698	Firm change after gap	Other
WELLS FARGO INVESTMENTS, LLC	WELLS FARGO ADVISORS	Jan 3, 2011	Jan 3, 2011	0	Bulk transfer	Other
WELLS FARGO ADVISORS	WELLS FARGO INVESTMENTS, LLC	Nov 3, 2009	Nov 2, 2009	-1	Firm change	Other
WELLS FARGO INVESTMENTS, LLC	WELLS FARGO ADVISORS	Jan 15, 2008	Feb 29, 2008	45	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	WELLS FARGO INVESTMENTS, LLC	Aug 17, 2004	Oct 26, 2004	70	Firm change	Other

Relationships

Registered with (7)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Sep 19, 2025 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Nov 3, 2023 to Sep 4, 2025factForm ADV
→ COMERICA SECURITIESRegistered adviserregistration: previous registration
Oct 4, 2021 to Nov 3, 2023factForm ADV
→ RBC SECURITIES, INC.Registered adviserregistration: previous registration
May 11, 2015 to Oct 6, 2021factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 3, 2011 to Jun 12, 2013factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Nov 2, 2009 to Jan 3, 2011factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Aug 7, 2002 to Aug 17, 2004factForm ADV

Dated events

Occurred
Sep 4, 2025
Advisor changed firm
Scott Wiley left Ameriprise Financial Services, Llc for Lpl Financial Llc (registered 2025-09-19)
Form ADVobserved 6 days ago