Scott Wauters
Scott Wauters is a registered investment advisor at LPL Financial LLC, based in Appleton, WI, with 19 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
100 W Lawrence St Ste 304, Appleton, WI, 54911-0000
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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
Scott is involved with Provisions Wealth Planners, including non-variable insurance, and several investment advisory businesses: Advisors Pride, Gateway Financial Partners LLC, and Gateway Wealth Partners, LLC. He dedicates a significant amount of time to these activities, including a full-time commitment to Gateway Wealth Partners, LLC.
Employment History
Current Registrations
LPL Financial LLC
Gateway Wealth Partners, LLC
LPL Financial LLCBroker
Previous Registrations
Advisors' Pride INC.
BMO Harris Financial Advisors, INC.Broker
BMO Harris Financial Advisors, INC
M&i Financial Advisors, INC.
M&i Investment Management CORP.
M&i Financial Advisors, INC.
M&i Financial Advisors, INCBroker
Ameriprise Financial Services, INC.Broker
State Registrations16 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.