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CFP
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CFP

Scott Wiese

LPL Financial LLC
34 Years of Experience
Mt Laurel, NJ
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Scott Wiese is a CFP-designated registered investment advisor at LPL Financial LLC, based in Mt Laurel, NJ, with 34 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 Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

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

Location

309 Fellowship Rd, Ste 200, East Gate Center, Mt Laurel, NJ, 08054

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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
October 2008
Denied
Customer Dispute
July 2008
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Scott is involved in several outside business activities. He owns RBD 4th Ave LLC for real estate rental, is associated with RBD Wealth Management LLC as a DBA for LPL business, and works as an agent for Highland Capital Brokerage and JBC Companies selling non-variable insurance products, dedicating a few hours per week to each.

Employment History
Current Registrations
LPL Financial LLCBroker
February 2018 - Present · 8 yrs 8 mos
LPL Financial LLC
February 2018 - Present · 8 yrs 8 mos
Previous Registrations
Invest Financial Corporation
January 2006 - February 2018 · 12 yrs 1 mo
Invest Financial CorporationBroker
January 2006 - February 2018 · 12 yrs 1 mo
PNC InvestmentsBroker
January 2004 - January 2006 · 2 yrs
PNC Investments
January 2004 - January 2006 · 2 yrs
Hilliard Lyons Asset Management
September 2003 - January 2004 · 4 mos
J.J.B. Hilliard, W.L. Lyons, INC.Broker
June 2002 - January 2004 · 1 yr 7 mos
PNC Brokerage CORPBroker
March 1999 - June 2002 · 3 yrs 3 mos
Fleet Enterprises, INC.Broker
July 1997 - March 1999 · 1 yr 8 mos
Liberty Securities CorporationBroker
April 1996 - June 1997 · 1 yr 2 mos
Lincoln Financial Advisors CorporationBroker
July 1995 - April 1996 · 9 mos
The Lincoln National Life Insurance CompanyBroker
July 1995 - April 1996 · 9 mos
Marketing One Securities, INC.Broker
January 1994 - July 1995 · 1 yr 6 mos
The Equitable Life Assurance Society of the United StatesBroker
November 1991 - October 1993 · 1 yr 11 mos
Equico Securities, INC.Broker
November 1991 - October 1993 · 1 yr 11 mos
State Registrations13 states
ALAZCADEFLMDNCNJNYOHPASCTX
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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