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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

SCOTT ALLEN RICHARDSON

Advisor at LPL FINANCIAL LLC

JANESVILLE, WI

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Search this name across graphsid dfx:ria:8c0eaf08-7bdf-38ec-2865-1576bbf6265c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Dec 1, 2007 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: Oct 16, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Oct 16, 2007
First registration: Dec 1, 2007
Dual registered: yes, broker-dealer
IAPD individual key: 5403906

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	Apr 28, 2021	n/a	yes	JANESVILLE, WI	Current employment
WELLS FARGO ADVISORS	Wirehouse	Sep 21, 2016	May 4, 2021	no	MADISON, WI\|MILWAUKEE, WI\|STOUGHTON, WI\|DODGEVILLE, WI\|MADISON, WI\|MADISON, WI	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Sep 27, 2016	no	JANESVILLE, WI\|EDGERTON, WI	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Dec 17, 2009	Oct 1, 2012	no	JANESVILLE, WI\|MADISON, WI\|EDGERTON, WI\|JANESVILLE, WI	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Dec 1, 2007	May 28, 2009	no	RICHMOND, VA	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
WELLS FARGO ADVISORS	LPL FINANCIAL LLC	May 4, 2021	Apr 28, 2021	-6	Firm change	Wirehouse to ibd
J.P. MORGAN SECURITIES LLC	WELLS FARGO ADVISORS	Sep 27, 2016	Sep 21, 2016	-6	Firm change	Wirehouse to wirehouse
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
CITIGROUP GLOBAL MARKETS INC.	CHASE INVESTMENT SERVICES CORP.	May 28, 2009	Dec 17, 2009	203	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
19616:6413:WI:2021-04-19	May 4, 2021	Apr 28, 2021	MADISON, WI	Firm change

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Apr 28, 2021 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Sep 21, 2016 to May 4, 2021factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Sep 27, 2016factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Dec 17, 2009 to Oct 1, 2012factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Dec 1, 2007 to May 28, 2009factForm ADV

Dated events

No dated event names this entity yet.