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Scott Holmes

LPL Financial LLC
28 Years of Experience
Laguna Niguel, CA
1 DisclosureBroker
View SEC Summary
View SEC Summary

Scott Holmes is a registered investment advisor at LPL Financial LLC, based in Laguna Niguel, CA, with 28 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
28129 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

28202 Cabot Rd Ste 600, Laguna Niguel, CA, 92677

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History

Regulatory History (1)
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
January 2002
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Scott operates his LPL business through Coastal Wealth Inc. He is also a borrower of a loan since 2021.

Employment History
Current Registrations
LPL Financial LLC
December 2022 - Present · 3 yrs 10 mos
LPL Financial LLCBroker
December 2022 - Present · 3 yrs 10 mos
Previous Registrations
Commonwealth Financial NetworkBroker
May 2018 - December 2022 · 4 yrs 7 mos
Commonwealth Financial Network
May 2018 - December 2022 · 4 yrs 7 mos
Neuberger Berman Bd LLC
October 2015 - May 2018 · 2 yrs 7 mos
Neuberger Berman Bd LLCBroker
September 2015 - May 2018 · 2 yrs 8 mos
Pioneer Institutional Asset Management, INC.
May 2012 - September 2015 · 3 yrs 4 mos
Pioneer Funds Distributor, INC.Broker
March 2012 - September 2015 · 3 yrs 6 mos
Morgan Stanley Smith Barney LLC
June 2009 - March 2012 · 2 yrs 9 mos
Morgan Stanley Smith BarneyBroker
June 2009 - March 2012 · 2 yrs 9 mos
Morgan Stanley & CO. Incorporated
April 2009 - June 2009 · 2 mos
Morgan Stanley & CO. IncorporatedBroker
April 2009 - June 2009 · 2 mos
Wells Fargo Investments, LLCBroker
November 2003 - April 2009 · 5 yrs 5 mos
Wells Fargo Investments, LLC
November 2003 - April 2009 · 5 yrs 5 mos
Merrill Lynch Pierce Fenner & Smith INC.
November 2002 - November 2003 · 1 yr
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 2002 - November 2003 · 1 yr
Wm Financial Services, INC.Broker
May 1999 - December 2002 · 3 yrs 7 mos
Wells Fargo Securities INC.Broker
September 1998 - April 1999 · 7 mos
State Registrations10 states
AZCAIDKYNCNVPATNTXUT
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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Scott Holmes - Financial Advisor | TrueAdvisor