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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

SCOTT JAMES GREGORY

Advisor at LPL FINANCIAL LLC

RACINE, WI | DELAVAN, WI

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Search this name across graphsid dfx:ria:f6fb596f-25cc-c06a-162e-4cf2f24da4f4

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 10, 2007 to Sep 15, 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: Apr 16, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Apr 16, 2007
First registration: Oct 10, 2007
Dual registered: yes, broker-dealer
IAPD individual key: 5301457

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	Feb 14, 2018	n/a	yes	RACINE, WI\|DELAVAN, WI	Current employment
INVEST FINANCIAL CORPORATION	Former SEC adviser	Mar 18, 2013	Feb 20, 2018	no	JANESVILLE, WI\|RACINE, WI\|RACINE, WI\|APPLETON, WI\|RACINE, WI	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Oct 25, 2011	Mar 20, 2013	no	JANESVILLE, WI	Previous registration
CETERA INVESTMENT SERVICES LLC	Former SEC adviser	Oct 10, 2007	Oct 11, 2011	no	SUSSEX, WI\|WAUKESHA, WI\|WAUKESHA, WI	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
INVEST FINANCIAL CORPORATION	LPL FINANCIAL LLC	Feb 20, 2018	Feb 14, 2018	-6	Bulk transfer	Other
WELLS FARGO ADVISORS	INVEST FINANCIAL CORPORATION	Mar 20, 2013	Mar 18, 2013	-2	Firm change	Other
CETERA INVESTMENT SERVICES LLC	WELLS FARGO ADVISORS	Oct 11, 2011	Oct 25, 2011	14	Firm change	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Feb 14, 2018 to presentfactForm ADV
→ INVEST FINANCIAL CORPORATIONRegistered adviserregistration: previous registration
Mar 18, 2013 to Feb 20, 2018factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Oct 25, 2011 to Mar 20, 2013factForm ADV
→ CETERA INVESTMENT SERVICES LLCRegistered adviserregistration: previous registration
Oct 10, 2007 to Oct 11, 2011factForm ADV

Dated events

No dated event names this entity yet.