Scott Wallach, financial advisor Rockaway NJ
38 score

Scott Wallach

CRD 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.

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Company Name Location Dates Years
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
Disclosure Information

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
Get Details on the FINRA Advisor Check site
Contact Info for Scott J. Wallach
Phone Number: 973-352-6700
Firm Website:
Registered State(s):
  • NJ
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
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)
Types of Clients
Registered States


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