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CFP
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CFP

Scott Frazer

LPL Financial LLC
16 Years of Experience
Montrose, CO
BrokerSells Insurance
View SEC Summary
View SEC Summary

Scott Frazer is a CFP-designated registered investment advisor at LPL Financial LLC, based in Montrose, CO, with 16 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
—
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Location

Montrose, CO

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History

Regulatory History
Clean regulatory record

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.

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Other Business ActivitiesSells Insurance

Scott is an insurance agent selling insurance through various carriers for W&R Insurance Agencies since 2020. He is also the President of Rocky Mountain Strategic Capital Inc., dedicating minimal time to this role.

Employment History
Current Registrations
LPL Financial LLC
July 2021 - Present · 5 yrs 3 mos
LPL Financial LLC
July 2021 - Present · 5 yrs 3 mos
LPL Financial LLCBroker
July 2021 - Present · 5 yrs 3 mos
Previous Registrations
Waddell & Reed
August 2020 - July 2021 · 11 mos
Waddell & ReedBroker
August 2020 - July 2021 · 11 mos
Schwab Private Client Investment Advisory, INC.
January 2015 - September 2020 · 5 yrs 8 mos
Charles Schwab & CO., INC.Broker
April 2013 - September 2020 · 7 yrs 5 mos
Charles Schwab & CO., INC.
April 2013 - January 2015 · 1 yr 9 mos
Waddell & Reed, INC.
June 2009 - April 2012 · 2 yrs 10 mos
Waddell & Reed, INC.Broker
June 2009 - April 2012 · 2 yrs 10 mos
State Registrations3 states
COMTTX
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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