Scott Holmes
Scott Holmes is a registered investment advisor at LPL Financial LLC, based in Laguna Niguel, CA, with 27 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
28202 Cabot Road, Suite 260, Laguna Niguel, CA, 92677
Get directionsHistory
Regulatory History (1)
Customer Dispute
January 2002Other 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
LPL Financial LLCBroker
Previous Registrations
Commonwealth Financial NetworkBroker
Commonwealth Financial Network
Neuberger Berman Bd LLC
Neuberger Berman Bd LLCBroker
Pioneer Institutional Asset Management, INC.
Pioneer Funds Distributor, INC.Broker
Morgan Stanley Smith Barney LLC
Morgan Stanley Smith BarneyBroker
Morgan Stanley & CO. Incorporated
Morgan Stanley & CO. IncorporatedBroker
Wells Fargo Investments, LLCBroker
Wells Fargo Investments, LLC
Merrill Lynch Pierce Fenner & Smith INC.
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Wm Financial Services, INC.Broker
Wells Fargo Securities INC.Broker
State Registrations9 states
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.