Scott McCaffrey, financial advisor Dallas TX
93 score

Scott McCaffrey

CRD Number: 3076398
Current Firm: Lpl Financial LLC

Scott McCaffrey (CRD# 3076398) is an Investment Advisor Representative working at Lpl Financial LLC in Dallas, TX and has over 18 years of experience in the finance industry.

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Company Name Location Dates Years
Lpl Financial Dallas, TX Nov 2012 - Current 4
Unemployed Dallas, TX Nov 2011 - Nov 2012 1
Bbva Wealth Solutions Inc. Dallas, TX Oct 2010 - Nov 2011 1
Compass Bank Dallas, TX Aug 2010 - Nov 2011 1
Bbva Compass Investment Solutions, Inc. Dallas, TX Aug 2010 - Nov 2011 1
Wells Fargo Investments, LLC Addison, TX Dec 2009 - Aug 2010 < 1
Wells Fargo / Wachovia Addison, TX May 2006 - Aug 2010 4
Wachovia Securities, LLC Addison, TX May 2006 - Dec 2009 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 1998
S65 NASAA Investment Advisors Law Examination Aug 1998
Contact Info for Scott E. McCaffrey
Phone Number: 617-423-3644
Firm Website: http://www.lpl.com
Registered State(s):
  • LA
  • TX
By the Numbers
  • Total Assets Under Management
    112,086
    MILLIONS
  • Total Number of Accounts
    531,091
    ACCOUNTS
  • Average Account Value
    $211,049
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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