Scott Wachs is a registered investment advisor, based in New York, NY, with 10 years of industry experience.
Location
400 Park Avenue, 10th Floor, New York, NY, 10022
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Cnr Securities, LLC
August 2017 - Present · 8 yrs 9 mos
RBC Rochdale, LLC
August 2017 - Present · 8 yrs 9 mos
Cnr Securities, LLCBroker
August 2017 - Present · 8 yrs 9 mos
Previous Registrations
UBS Financial Services INC.
January 2015 - February 2017 · 2 yrs 1 mo
UBS Financial Services INC.Broker
October 2014 - February 2017 · 2 yrs 4 mos
State Registrations6 states
CAKYNCNJNYTX
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.