Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Holmes is a financial advisor with over 20 years of experience in the industry. He is currently registered with LPL Financial LLC and has previously worked for firms like Commonwealth Financial Network, Neuberger Berman BD LLC, and Morgan Stanley Smith Barney. Scott specializes in providing financial planning, portfolio management, and consulting services to individuals, families, and businesses. His experience and expertise allow him to help clients develop and implement personalized financial strategies that are tailored to their specific needs and goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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CA
12/06/2022 - Present
LPL Financial LLC (LAGUNA NIGUEL CA)
CA
05/22/2018 - 12/13/2022
COMMONWEALTH FINANCIAL NETWORK (Laguna Niguel CA)
NY
09/30/2015 - 05/23/2018
NEUBERGER BERMAN BD LLC (NEW YORK NY)
CA
03/08/2012 - 09/29/2015
PIONEER FUNDS DISTRIBUTOR, INC. (DANA POINT CA)
CA
06/01/2009 - 03/07/2012
MORGAN STANLEY SMITH BARNEY (SAN LUIS OBISPO CA)
CA
04/13/2009 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SAN LUIS OBISPO CA)
CA
11/28/2003 - 04/22/2009
WELLS FARGO INVESTMENTS, LLC (GROVER BEACH CA)
NY
11/22/2002 - 11/25/2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
CA
05/05/1999 - 12/09/2002
WM FINANCIAL SERVICES, INC. (IRVINE CA)
CA
09/09/1998 - 04/30/1999
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
IA
Issued 10/16/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/02/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/03/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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