Scott M. Bogan

CLEAR HARBOR ASSET MANAGEMENT

Stamford, CT 06901

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CRD#: 2763347

Professional summary

Scott M Bogan, who also goes by Scott Matthew Bogan, is a registered financial advisor currently at CLEAR HARBOR ASSET MANAGEMENT, LLC located in Stamford, Connecticut.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Scott has worked at 8 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Scott Matthew Bogan

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott M Bogan's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 7, 2025 - Present

CLEAR HARBOR ASSET MANAGEMENT, LLC

Office #1: 263 Tresser Blvd. Suite 1502, Stamford, CT 06901

RIA

CRD#: 152242

Stamford, CT

Past

November 7, 2024 - February 19, 2025

FOCUS PARTNERS WEALTH, LLC

RIA

CRD#: 159289

Westport, CT

Past

January 2, 2019 - December 6, 2024

GYL FINANCIAL SYNERGIES, LLC

RIA

CRD#: 284758

Westport, CT

Past

November 23, 2005 - January 2, 2019

RESNICK ADVISORS

RIA

CRD#: 105927

WESTPORT, CT

Past

November 23, 2005 - September 29, 2006

WESTPORT SECURITIES, L.L.C.

CRD#: 46113

WESTPORT, CT

Past

January 30, 2002 - August 29, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

GREENWICH, CT

Past

January 7, 2002 - August 29, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

September 15, 2000 - December 3, 2001

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

August 14, 1996 - October 23, 2000

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CLEAR HARBOR ASSET MANAGEMENT, LLC

CLEAR HARBOR ASSET MANAGEMENT, LLC | FALCON CAPITAL MANAGEMENT, INC. | DAUNTLESS MANAGEMENT LLC

CRD#: 152242 / SEC#: 801-70821

RIA

Registered Investment Advisory firm - (11/20/2009 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(3/7/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/11/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/15/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 11/28/2000

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/2/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/13/1996

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CLEAR HARBOR ASSET MANAGEMENT, LLC

CLEAR HARBOR ASSET MANAGEMENT, LLC | FALCON CAPITAL MANAGEMENT, INC. | DAUNTLESS MANAGEMENT LLC

CRD#: 152242 / SEC#: 801-70821

RIA

Registered Investment Advisory firm - (11/20/2009 Approved)

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Contact information

Main Address

263 Tresser Blvd. Suite 1502, Stamford, CT 06901

Mailing Address

Phone number

(212) 867-7310

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (21 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CLEAR HARBOR ASSET MANAGEMENT ADV PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts	1,667
AUM (Assets Under Management)	$ 1,742,800,000

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/18/2024	Cover Page	Report
01/23/2024	Cover Page	Report
01/06/2023	Cover Page	Report
04/28/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Scott M. Bogan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott M Bogan's CRS (Customer Relationship Summary).

Certified licenses

Experience

FOCUS PARTNERS WEALTH, LLC

GYL FINANCIAL SYNERGIES, LLC

RESNICK ADVISORS

WESTPORT SECURITIES, L.L.C.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY & CO. LLC

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

CLEAR HARBOR ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/11/2000

Series 63

Date: 8/15/1996

Series 3

Date: 11/28/2000

Series 7

Date: 10/2/2000

Series 6

Date: 8/13/1996

Current Firm

CLEAR HARBOR ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (21 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CLEAR HARBOR ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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