Lance Scott has been President/Chief Compliance Officer of Bay Harbor Wealth Management since August 2018, is a control person of the firm and directly owns 75% or more of it. Lance Scott holds a BA in Political Science with a minor in Business Administration from the University of Vermont.
Bay Harbor Wealth Management, LLC is a Hunt Valley, MD firm with $412M under management, 399 clients and 4 advisers in one office, as of its August 2026 filing.
Lance R. Scott is President, Wealth Advisor, Chief Compliance Officer of Bay Harbor Wealth Management. He is the founder and president of the firm and also serves as its Chief Compliance Officer. He established Bay Harbor in 2011 and completed the Investment Strategies and Portfolio Management Program through the Wharton School's Aresty Institute of Executive Education.
Lance Scott’s longest registration was 8 years at Global Financial Private Capital, LLC (2011–2019). Before joining Bay Harbor Wealth Management in 2018, Lance Scott was registered through Bay Harbor Wealth Management, LLC and Global Financial Private Capital, LLC.
- – present · 8 yearsHunt Valley, MD · Adviser representative · Firm CRD 294000
- Bay Harbor Wealth Management, LLC– · 2 yearsBaltimore, MD · Adviser representative · Firm CRD 167111
- Global Financial Private Capital, LLC– · 8 yearsHunt Valley, MD · Adviser representative · Firm CRD 132070
- H. Beck, Inc.– · under a yearTowson, MD · Adviser representative · Firm CRD 1763
Professional designations
Listed by Bay Harbor Wealth Management
- Accredited Investment Fiduciary® (AIF®)
Investment adviser representative registrations
Lance Scott is registered as an investment adviser representative in Maryland, since October 2018.
- MarylandSince 11 October 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 25 May 2010 |
| Series 7 | General Securities Representative Examination | 23 October 2008 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Lance Reid Scott
- CRD
- 5608446
- Firm
- Bay Harbor Wealth Management · CRD 294000
- Role
- President/Chief Compliance Officer
- Office
- 201 INTERNATIONAL CIRCLE, SUITE 520, Hunt Valley, MD 21030
- Registration
- Investment adviser registration
- In the industry since
- May 2010
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- bayharborwealth.com
Where does Lance Scott work?
Lance Scott has been President/Chief Compliance Officer of Bay Harbor Wealth Management, LLC since August 2018, and is a control person of the firm.
Is Lance Scott a financial advisor?
Yes. Lance Scott has a current investment-adviser registration in Maryland, through Bay Harbor Wealth Management since October 2018.
How many years of experience does Lance Scott have?
Lance Scott has 16 years in the financial industry, since May 2010, across 4 adviser firms.
What exams has Lance Scott passed?
Lance Scott has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in October 2008.
Where did Lance Scott work before Bay Harbor Wealth Management?
Before Bay Harbor Wealth Management, Lance Scott was registered through Bay Harbor Wealth Management, LLC (CRD 167111), April 2013 to August 2015; H. Beck, Inc., May 2010 to April 2011.
Where is Lance Scott based?
Lance Scott’s registered office is in Hunt Valley, MD.
Is Lance Scott registered with FINRA?
No. Lance Scott has no current broker registration.
How can I verify Lance Scott’s record?
Search CRD 5608446 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Lance Scott’s full registration record.