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Scott Wallach

Aurora Private Wealth, INC.
27 Years of Experience
Totowa, NJ
4 DisclosuresBroker
View SEC Summary
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Scott Wallach is a registered investment advisor at Aurora Private Wealth, INC., based in Totowa, NJ, with 27 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 Business Owners, Charitable Giving, Education Planning, Estate Planning, and 6 more. Their firm serves 1,508 clients with $370M in assets under management.

Aurora Private Wealth, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
20 advisors
Number of Clients
1,508 clients
Average Client Portfolio
$248K average
Assets Under Management
$374.0M

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.95%

Fees generally range from 0.25% to 2.95% per annum depending on client circumstances, assets under management, and other factors. Fees are negotiable.

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

Location

999 Riverview Drive, Suite 201, Totowa, NJ, 07512

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History

Regulatory History (4)
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.
Regulatory
October 2017
Final
Employment Separation After Allegations
September 2017
Customer Dispute
July 2016
Settled
Customer Dispute
November 2010
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Scott is an Investment Advisor Representative (IAR) with Aurora Private Wealth, Inc. since 2017. He also spends minimal time on music production since 2020.

Employment History
Current Registrations
Aurora Private Wealth, INC.
December 2017 - Present · 8 yrs 10 mos
Apw Capital, INC.Broker
November 2017 - Present · 8 yrs 11 mos
Previous Registrations
Wells Fargo Clearing Services, LLC
April 2007 - October 2017 · 10 yrs 6 mos
Wells Fargo Clearing Services, LLCBroker
July 2003 - October 2017 · 14 yrs 3 mos
Prudential Securities IncorporatedBroker
December 1999 - July 2003 · 3 yrs 7 mos
Painewebber IncorporatedBroker
January 1999 - December 1999 · 11 mos
Continental Broker-Dealer CORP.Broker
August 1998 - December 1998 · 4 mos
State Registrations7 states
CACTMDNJNYPAVA
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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