Ute Scott-smith
Investment adviser representative at LPL Financial LLC
23 yearsExperience
1 stateRegistered in
ChFC®Designation
$819.1BFirm assets
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Seminars and workshops
Experience
23 years in the industry.
- LPL Financial LLCJun 2025 to now
- The Social Equity Group, Inc.Jul 2023 to Jun 2025
- Western International Securities, Inc.Aug 2017 to Jun 2025
- The Social Equity Group, Inc.Jun 2004 to Nov 2022
- Financial West GroupNov 2003 to Aug 2017
Designations
- ChFC®
Exams passed
- Series 66 · Uniform Combined State Law2003
State registrations
Registered as an investment adviser representative in 1 state (CA).
LPL Financial LLC
$819.1BAssets managed
1,986,990Clients
22,674Advisers
51 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 4730093
- Firm CRD
- 6413