Scott Aaron Syphers
Professional Summary
Scott Aaron Syphers is a registered financial advisor currently at BROAD REACH CAPITAL LLC located in Raleigh, North Carolina. Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Scott has worked at 5 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 14 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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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Years of Experience
24 years in the financial services industry
Current & Past Employments
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Current Firm
ANTHEM WEALTH MANAGEMENT | WEALTH PRESERVATION GROUP, LLC | BROAD REACH CAPITAL LLC | BROAD REACH CAPITAL
Contact Information
Main Address
1101 Haynes St Suite 213, Raleigh, NC 27604Phone Number
(919) 309-9325# of Employees
4SEC notice filing (3 States and Territories)
Registered to provide investment advisory services in 3 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
25AUM (Assets Under Management)
$180,469,462Similar Advisors
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.
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Primary Firm SEC Registration
ANTHEM WEALTH MANAGEMENT | WEALTH PRESERVATION GROUP, LLC | BROAD REACH CAPITAL LLC | BROAD REACH CAPITAL
State Registrations and Notice Filings
(12/16/2022)
(5/20/2014)
(9/26/2007)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Dec 2002About the Series 6 examSimilar Advisors
CRS (Client Relationship Summary) - RIA
Click below to view Scott Aaron Syphers's CRS (Customer Relationship Summary).
