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Scott Seidman
41 Years of Experience
Warwick, RI
15 DisclosuresMay Earn Commission
Scott Seidman is a registered investment advisor at The Retirement Planning Company of New England, INC., based in Warwick, RI, with 41 years of industry experience. Their practice areas include Investment Management. Their firm serves 572 clients with $340M in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
4 advisors
Number of Clients
572 clients
Average Client Portfolio
$588K average
Assets Under Management
$336.3M
Fee Structure
Minimum Investment:$500K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 1.25% |
| $250K - $500K | 1.00% |
| $500K - $1.0M | 0.90% |
| $1.0M - $1.5M | 0.75% |
| $1.5M - $2.5M | 0.60% |
| $2.5M+ | 0.60% |
Fees are negotiable for amounts in excess of $2,500,000.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
1287 Post Road, Warwick, RI, 02888
Get directionsHistory
Regulatory History (15)
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Regulatory
December 2004Final
Regulatory
July 2004Final
Regulatory
April 2004Final
Employment Separation After Allegations
January 2004Customer Dispute
January 2004Closed-No Action
Customer Dispute
August 2003Settled
Customer Dispute
February 2003Denied
Regulatory
January 2003Final
Customer Dispute
November 2002Settled
Employment Separation After Allegations
October 2002Customer Dispute
June 2002Settled
Customer Dispute
March 2001Closed-No Action
Customer Dispute
October 1994Settled
Customer Dispute
August 1992Settled
Customer Dispute
October 1989Settled
Employment History
Current Registrations
The Retirement Planning Company of New England, INC.
April 2013 - Present · 13 yrs 1 mo
Previous Registrations
Seidman Investment Advisors, LLC
July 2004 - December 2013 · 9 yrs 5 mos
Moors & Cabot, INC.Broker
October 2002 - January 2004 · 1 yr 3 mos
UBS Painewebber INC.
September 2002 - October 2002 · 1 mo
UBS Painewebber INC.Broker
January 1986 - October 2002 · 16 yrs 9 mos
Shearson Lehman Brothers INC.Broker
March 1984 - February 1986 · 1 yr 11 mos
State Registrations2 states
RITX
Advisor
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.