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Scott Smallman

Wedbush Securities INC.
44 Years of Experience
Seattle, WA
1 DisclosureBroker
View SEC Summary
View SEC Summary

Scott Smallman is a registered investment advisor at Wedbush Securities INC., based in Seattle, WA, with 44 years of industry experience. Scott is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, High Net Worth, Insurance Planning, Investment Management, and 1 more. Their firm serves 10,048 clients with $5.7B in assets under management.

Wedbush Securities INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
220 advisors
Number of Clients
10,048 clients
Average Client Portfolio
$566K average
Assets Under Management
$5.7B

Fee Structure

Minimum Investment:$25K
Investment management only (planning not offered)
Minimum Annual Fee:$250
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K3.00%
$250K - $500K2.80%
$500K - $1.0M2.50%
$1.0M - $3.0M1.90%
$3.0M - $5.0M1.60%
$5M+1.60%

Fees for accounts over $5,000,000 are negotiable. Accounts are subject to minimum annual fees ranging from $250 to $1,000 depending on the program.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Two Union Square Ste 5050, 601 Union Street, Seattle, WA, 98101

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
July 2019
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Scott works as a soccer referee for East King County Soccer Referees Association and Arbiter Sports since 2000. These activities each take about 10-20% of his time, with some hours occurring during business hours.

Employment History
Current Registrations
Wedbush Securities INC.Broker
October 2006 - Present · 20 yrs
Wedbush Securities INC.
October 2006 - Present · 20 yrs
Previous Registrations
UBS Financial Services INC.
August 2006 - November 2006 · 3 mos
UBS Financial Services INC.Broker
August 2006 - November 2006 · 3 mos
Piper Jaffray & CO.
July 2000 - August 2006 · 6 yrs 1 mo
Piper Jaffray & CO.Broker
August 1994 - August 2006 · 12 yrs
Smith Barney INC.Broker
July 1993 - September 1994 · 1 yr 2 mos
Lehman Brothers INC.Broker
February 1988 - July 1993 · 5 yrs 5 mos
E. F. Hutton & Company INCBroker
December 1981 - February 1988 · 6 yrs 2 mos
State Registrations30 states
AKAZCACOCTFLGAHIIAIDILKYMAMDMEMNMSNCNHNMNVNYOHORTNTXUTVAWAWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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