Scott WallachCRD Number: 3108314
Current Firm: Aurora Private Wealth, Inc.
Scott Wallach (CRD# 3108314) is an Investment Advisor Representative working at Aurora Private Wealth, Inc. in Rockaway, NJ and has over 19 years of experience in the finance industry.
Legacy Care Wealth, LLC
Brighton Financial Planning
Cfs Investment Advisory Services LLC
|Comprehensive Asset Management And Servicing, Inc.||Parsippany, NJ||Nov 2017 - Current||< 1|
|Aurora Private Wealth, Inc.||Parsippany, NJ||Oct 2017 - Current||< 1|
|Wells Fargo Clearing Services, LLC||Paramus, NJ||Nov 2016 - Sep 2017||< 1|
|Wells Fargo Advisors LLC||Paramus, NJ||May 2009 - Nov 2016||7|
|Wachovia Securities LLC||Paramus, NJ||Mar 2007 - May 2009||2|
|Wachovia Securities LLC||New York, NY||Jul 2003 - May 2009||5|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Sep 1998|
|S65||NASAA Investment Advisors Law Examination||Mar 1999|
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. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Employer Dispute
- Customer Dispute
- Regulatory Event
Total Assets Under Management221MILLIONS
Total Number of Accounts1,059ACCOUNTS
Average Account Value$208,994
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- 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)
CA, CT, FL, GA, HI, MA, NC, NJ, NY, OH, TX
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