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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

SCOTT DALE CARMONY

Advisor at LPL FINANCIAL LLC

SHELBYVILLE, IN

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Search this name across graphsid dfx:ria:acbec582-6933-db93-18ab-abcb8761b0ed

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 7, 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: Jun 19, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Jun 19, 2003
First registration: Feb 7, 2007
Dual registered: yes, broker-dealer
IAPD individual key: 4654753

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	Oct 22, 2018	n/a	yes	SHELBYVILLE, IN\|SHELBYVILLE, IN	Current employment
INVESTMENT ADVISORS CORP	Former SEC adviser	Mar 26, 2010	Oct 12, 2018	no	SHELBYVILLE, IN	Previous registration
HARDWICK CAPITAL MANAGEMENT, LLC	State registered	Nov 10, 2009	Apr 6, 2010	no	SHELBYVILLE, IN	Previous registration
EDWARD JONES	National bd RIA	Feb 7, 2007	Nov 5, 2009	no	SHELBYVILLE, IN\|SHELBYVILLE, IN	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
INVESTMENT ADVISORS CORP	LPL FINANCIAL LLC	Oct 12, 2018	Oct 22, 2018	10	Firm change	Ibd to RIA
HARDWICK CAPITAL MANAGEMENT, LLC	INVESTMENT ADVISORS CORP	Apr 6, 2010	Mar 26, 2010	-11	Firm change	Other
EDWARD JONES	HARDWICK CAPITAL MANAGEMENT, LLC	Nov 5, 2009	Nov 10, 2009	5	Firm change	Ibd to state RIA

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Oct 22, 2018 to presentfactForm ADV
→ INVESTMENT ADVISORS CORPRegistered adviserregistration: previous registration
Mar 26, 2010 to Oct 12, 2018factForm ADV
→ HARDWICK CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Nov 10, 2009 to Apr 6, 2010factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Feb 7, 2007 to Nov 5, 2009factForm ADV

Dated events

No dated event names this entity yet.