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.

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

Nov 1, 2003earliest registration or exam on IAPD

Years in industry

22derivedfrom the industry start date

Years at current firm

1derivedfrom the current registration's begin date

Prior firms

4

Current registrations

1

Registered states

1

Designations

Chartered Financial Consultant

Exams

S66

First exam

Dec 11, 2003

First registration

Apr 26, 2004

Dual registered

yes, broker-dealer

Other names

Ute Wasum

IAPD individual key

4730093

• Occurred

  Dec 23, 2025
  Advisor changed firm

  Ute Scott-Smith left The Social Equity Group, Inc. for Lpl Financial Llc (registered 2025-06-05)

  Form ADVobserved 4 days ago
• Occurred

  Jun 5, 2025
  Advisor changed firm

  Ute Scott-Smith left Western International Securities for The Social Equity Group, Inc. (registered 2023-07-18)

  Form ADVobserved 4 days ago
• Occurred

  Jul 14, 2023
  Advisor changed firm

  Ute Scott-Smith left The Social Equity Group, Inc. for Western International Securities (registered 2017-08-21)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:e25cb3cb-787a-85b2-2d18-c86434c0f1f7

First observed

Apr 26, 2004

Last observed

Sep 14, 2026 5 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.