Scott Wachs, financial advisor New York NY
90 score

Scott Wachs

CRD Number: 6053581
Current Firm: City National Rochdale

Scott Wachs (CRD# 6053581) is an Investment Advisor Representative working at City National Rochdale in New York, NY and has over 4 years of experience in the finance industry.

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Company Name Location Dates Years
City National Rochdale New York, NY Aug 2017 - Current < 1
Ubs Financial Services Inc. Los Angeles, CA Apr 2014 - Current 4
Diamond Capadvisors Los Angeles, CA Aug 2013 - Current 4
Aaron Capital Inc. Encinitas, CA Jan 2014 - Sep 2014 < 1
Bank Of America West Lake Village, CA Feb 2013 - Aug 2013 < 1
Unemployed Los Angeles, CA Apr 2011 - Feb 2013 1
Lone Oak Fund Loa Angeles, CA Sep 2010 - Mar 2011 < 1
Wax Machine LLC New York, NY Apr 2005 - Aug 2010 5
Acsia Long Term Care New York, NY Jul 2009 - Jul 2010 1
Unemployed New York, NY Apr 2009 - Jul 2009 < 1
Personnel Decision Int. New York, NY Jun 2007 - Mar 2009 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jan 2015
S63 Uniform Securities State Law Examination Feb 2014
Contact Info for Scott R. Wachs
Phone Number: 212-702-3500
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    35,691
    MILLIONS
  • Total Number of Accounts
    24,562
    ACCOUNTS
  • Average Account Value
    $1,453,098
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies (as well as "business development companies")
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
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, WY

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BADGES
90
Clean Record
This advisor has a clean track record with regulators.

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