Ute Scott-Smith
Ute Scott-Smith is a ChFC-designated registered investment advisor at LPL Financial LLC, based in Santa Rosa, CA, with 22 years of industry experience. Ute 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
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
Location
829 Sonoma Ave., Santa Rosa, CA, 95404
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Ute is an agent for accident & health, life, and variable insurance. She also owns Green Leap Financial, and will conduct WIS business using the DBA in 2025, dedicating full-time hours to it.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
The Social Equity Group, INC.
Western International Securities, INC.Broker
Western International Securities
The Social Equity Group, INC.
Financial West Group
Financial West GroupBroker
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.
Exams
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