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RIA / WealthAdvisordual registered (broker-dealer)40 years in industry

WILLIAM SCOTT THOMPSON

Advisor at LPL FINANCIAL LLC

DAYTON, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e9a41ea5-b167-1946-eeea-1b37d2c585c9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 3, 2000 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: Feb 11, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Feb 11, 1986
First registration: Oct 3, 2000
Dual registered: yes, broker-dealer
Other names: SCOTT THOMPSON
IAPD individual key: 841557

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	Jul 14, 2020	n/a	yes	DAYTON, OH	Current employment
PRIVATE ADVISOR GROUP, LLC	Bd affiliated wealth	Oct 13, 2015	Jan 15, 2021	no	Mason, OH\|MORRISTOWN, NJ\|Dayton, OH	Previous registration
STONEX ADVISORS INC.	Bd affiliated wealth	Jan 30, 2015	Oct 8, 2015	no	BIRMINGHAM, AL	Previous registration
STERNE AGEE INVESTMENT ADVISOR SERVICES, INC.	Former SEC adviser	Oct 3, 2000	Jan 30, 2015	no	MASON, OH\|YOUNGSTOWN, OH\|YOUNGSTOWN, OH	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
PRIVATE ADVISOR GROUP, LLC	LPL FINANCIAL LLC	Jan 15, 2021	Jul 14, 2020	-185	Firm change after gap	Ibd to ibd
STONEX ADVISORS INC.	PRIVATE ADVISOR GROUP, LLC	Oct 8, 2015	Oct 13, 2015	5	Firm change	Other
STERNE AGEE INVESTMENT ADVISOR SERVICES, INC.	STONEX ADVISORS INC.	Jan 30, 2015	Jan 30, 2015	0	Bulk transfer	Other

Team moves

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

Team	Left	Joined	From	Kind
174182:155216:AL:2015-10-08	Oct 8, 2015	Oct 13, 2015	BIRMINGHAM, AL	Firm change

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jul 14, 2020 to presentfactForm ADV
→ PRIVATE ADVISOR GROUP, LLCRegistered adviserregistration: previous registration
Oct 13, 2015 to Jan 15, 2021factForm ADV
→ STONEX ADVISORS INC.Registered adviserregistration: previous registration
Jan 30, 2015 to Oct 8, 2015factForm ADV
→ STERNE AGEE INVESTMENT ADVISOR SERVICES, INC.Registered adviserregistration: previous registration
Oct 3, 2000 to Jan 30, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e9a41ea5-b167-1946-eeea-1b37d2c585c9
First observed: Oct 3, 2000
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.

WILLIAM SCOTT THOMPSON

Advisor at LPL FINANCIAL LLC

DAYTON, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e9a41ea5-b167-1946-eeea-1b37d2c585c9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:47 PM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

LPL FINANCIAL LLC

Bd affiliated wealth

Jul 14, 2020

n/a

yes

DAYTON, OH

Current employment

PRIVATE ADVISOR GROUP, LLC

Bd affiliated wealth

Oct 13, 2015

Jan 15, 2021

Mason, OH|MORRISTOWN, NJ|Dayton, OH

Previous registration

STONEX ADVISORS INC.

Bd affiliated wealth

Jan 30, 2015

Oct 8, 2015

BIRMINGHAM, AL

Previous registration

STERNE AGEE INVESTMENT ADVISOR SERVICES, INC.

Former SEC adviser

Oct 3, 2000

Jan 30, 2015

MASON, OH|YOUNGSTOWN, OH|YOUNGSTOWN, OH

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

PRIVATE ADVISOR GROUP, LLC

LPL FINANCIAL LLC

Jan 15, 2021

Jul 14, 2020

-185

Firm change after gap

Ibd to ibd

STONEX ADVISORS INC.

PRIVATE ADVISOR GROUP, LLC

Oct 8, 2015

Oct 13, 2015

Firm change

Other

STERNE AGEE INVESTMENT ADVISOR SERVICES, INC.

STONEX ADVISORS INC.

Jan 30, 2015

Bulk transfer

Other

Team

Left

Joined

From

Kind

174182:155216:AL:2015-10-08

Oct 8, 2015

Oct 13, 2015

BIRMINGHAM, AL

Firm change