Scott YiCRD Number: 4983680
Current Firm: Stifel, Nicolaus & Company, Incorporated
Compensation Model: Both
Castle Rock Wealth Management, LLC
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Wells Fargo Clearing Services, LLC
|Stifel Nicolaus & Co Inc.||Monterey, CA||Oct 2012 - Current||8|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Carmel, CA||Jun 2005 - Oct 2012||7|
|Exam Code||Name||Passed Date|
|S7||General Securities Representative Examination (GS)||Aug 2005|
|S66||NASAA Uniform Combined State Law Examination||Aug 2005|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved.Get Details on the FINRA Advisor Check site
Total Assets Under Management117,820MILLIONS
Total Number of Accounts279,563ACCOUNTS
Average Account Value$421,444
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- 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
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, 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, WY
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