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Scott Lomes

Kestra Advisory Services, LLC
27 Years of Experience
Boston, MA
2 DisclosuresBrokerSells Insurance
View SEC Summary
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Scott Lomes is a registered investment advisor at Kestra Advisory Services, LLC, based in Boston, MA, with 27 years of industry experience. Scott is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Annuities, Education Planning, Estate Planning, Insurance Planning, and 3 more. Their firm serves 117,403 clients with $80B in assets under management.

Kestra Advisory Services, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1456 advisors
Number of Clients
117,403 clients
Average Client Portfolio
$680K average
Assets Under Management
$79.8B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Asset-based fees range up to 2.5% of assets under management and are negotiable based on account size, registration type, and services provided.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Prudential Tower, 800 Boylston Street, 26th Floor, Boston, MA, 02199

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2009
Settled
Employment Separation After Allegations
June 1987
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Scott is an Investment Advisor Representative with Kestra Advisory Services, LLC, dedicating up to full-time hours to investment advisory services. He is also Vice President at Financial Architects Partners, focusing on business development and dedicating full-time hours to this role, with a significant portion during trading hours; this role involves insurance but is not investment-related.

Employment History
Current Registrations
Kestra Advisory Services, LLC
June 2016 - Present · 10 yrs 4 mos
Kestra Investment Services, LLCBroker
September 2014 - Present · 12 yrs 1 mo
Previous Registrations
NFP Advisor Services, LLC
October 2014 - September 2016 · 1 yr 11 mos
Credit Suisse Securities (USA) LLCBroker
January 2008 - June 2014 · 6 yrs 5 mos
Deutsche Bank Securities INC.Broker
August 2001 - February 2008 · 6 yrs 6 mos
Morgan Stanley Dw INC.Broker
August 1998 - August 2001 · 3 yrs
State Registrations6 states
CADEILMAMNNV
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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