Individual Firm
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SCOTT LESTER CALDWELL
CRD#: 872136
IA
B
LPL FINANCIAL LLCCRD#: 6413 GREENBRAE, CA
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3/27/1971
Criminal
Final Disposition
State Registrations
B
California 9/8/2000
B
Oregon 8/12/2005
IA
California 5/4/2001
B
Pennsylvania 9/8/2000
B
Idaho 1/5/2022
B
Texas 6/27/2018
B
Maryland 5/23/2017
IA
Texas 6/27/2018
SRO Registrations
B
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Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 07/16/1999 - 09/18/2000 | PURCHASE, NY | |
B | 08/19/1992 - 07/07/1999 | SACRAMENTO, CA | |
B | 04/24/1992 - 08/20/1992 | SAN RAMON, CA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.