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Scott A. Syphers
BROAD REACH CAPITAL LLC
RALEIGH, NC 27604
Some features on this profile are disabled
CRD#: 3073399
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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.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
BROAD REACH CAPITAL, INVESTMENT RELATED, 1911 HILLANDALE RD SUITE 1020 DURHAM NC 27705, NAME UNDER WHICH WEALTH PRESERVATION GROUP, LLC PRIMARILY CONDUCTS ADVISORY BUSINESS, MEMBER, 11/2017, 0% OF MY TIME. BROAD REACH PARTNERS LLC, NOT INVESTMENT RELATED, 1911 HILLANDALE RD SUITE 1020 DURHAM NC 27705, MANAGEMENT SERVICES, MEMBER, 2018, 1% OF MY TIME, NORTH CAROLINA CAPTIVE INSURANCE ASSOCIATION, NOT INVESTMENT RELATED, 151 CREST RD SOUTHERN PINES NC 28387, BOARD OF DIRECTORS, 1/2022, 4 HOURS/MONTH DEVOTED TO THIS BUSINESS, 0 HOURS/MONTH DURING SECURITIES TRADING HOURS, BOARD OF DIRECTORS DUTIES SOUTHWIND RISK RETENTION GROUP, INC, NOT INVESTMENT RELATED, 6752 ROCK SPRINGS RD SUITE 310 WILMINGTON NC 28405, BOARD OF DIRECTORS, 12/2021, 1 HOUR/MONTH DEVOTED TO THIS BUSINESS, 0 HOURS/MONTH DURING SECURITIES TRADING HOURS, BOARD OF DIRECTORS DUTIES Broad Reach Capital, LLC, NOT INVESTMENT RELATED, 1911 HILLANDALE RD SUITE 1020 DURHAM NC 27705, Conducts no business, Member, 11/2017, 0% of my time BULLDOG NATIONAL RISK RETENTION GROUP, INC., NOT INVESTMENT RELATED, 6752 ROCK SPRINGS RD SUITE 310 WILMINGTON NC 28405, BOARD OF DIRECTORS, 3/2020, 1 HOUR/MONTH DEVOTED TO THIS BUSINESS, 0 HOURS/MONTH DURING SECURITIES TRADING HOURS, BOARD OF DIRECTORS DUTIES. PAG INSURANCE COMPANY INC. NOT INVESTMENT RELATED,1101 HAYNES STREET, SUITE 213 , RALEIGH, NC 27604, 12/7/2015APPROXIMATE NUMBER OF HOURS PER MONTH DEVOTED TO THIS BUSINESS: 1 HOUR, NUMBER OF HOURS DEVOTED TO THIS BUSINESS DURING SECURITIES TRADING HOURS: 0 HOURS EVOLUTION INSURANCE COMPANY INC., NOT INVESTMENT RELATED,1101 HAYNES STREET, SUITE 213, RALEIGH, NC 27604, 11/1/2016APPROXIMATE NUMBER OF HOURS PER MONTH DEVOTED TO THIS BUSINESS: 1 HOUR, NUMBER OF HOURS DEVOTED TO THIS BUSINESS DURING SECURITIES TRADING HOURS: 0 HOURS MASTWOOD INSURANCE COMPANY INC. NOT INVESTMENT RELATED, 1101 HAYNES STREET, SUITE 213, RALEIGH, NC 27604, 12/19/2016, APPROXIMATE NUMBER OF HOURS PER MONTH DEVOTED TO THIS BUSINESS: 1 HOUR,NUMBER OF HOURS DEVOTED TO THIS BUSINESS DURING SECURITIES TRADING HOURS: 0 HOURS MOOSE RIVER INSURANCE COMPANY INC. NOT INVESTMENT RELATED, 1101 HAYNES STREET, SUITE 213, RALEIGH, NC 27604, 12/15/2016, APPROXIMATE NUMBER OF HOURS PER MONTH DEVOTED TO THIS BUSINESS: 1 HOUR, NUMBER OF HOURS DEVOTED TO THIS BUSINESS DURING SECURITIES TRADING HOURS: 0 HOURS MRM INSURANCE COMPANY INC. NOT INVESTMENT RELATED, 1101 HAYNES STREET, SUITE 213, RALEIGH, NC 27604, 12/16/2016, APPROXIMATE NUMBER OF HOURS PER MONTH DEVOTED TO THIS BUSINESS: 1 HOUR, NUMBER OF HOURS DEVOTED TO THIS BUSINESS DURING SECURITIES TRADING HOURS: 0 HOURS TRUE INTEGRITY INSURANCE COMPANY INC., NOT INVESTMENT RELATED, 160 MINE LAKE CT., SUITE 200, RALEIGH, NC 27615, 6/2/2022, APPROXIMATE NUMBER OF HOURS PER MONTH DEVOTED TO THIS BUSINESS: 1 HOUR, NUMBER OF HOURS DEVOTED TO THIS BUSINESS DURING SECURITIES TRADING HOURS: 0 HOURS FOUNDATION INSURANCE COMPANY INC., NOT INVESTMENT RELATED, 1101 HAYNES STREET, SUITE 213, RALEIGH, NC 27604, 12/1/2022, APPROXIMATE NUMBER OF HOURS PER MONTH DEVOTED TO THIS BUSINESS: 1 HOUR, NUMBER OF HOURS DEVOTED TO THIS BUSINESS DURING SECURITIES TRADING HOURS: 0 HOURS
CRS (Client Relationship Summary) - RIA
Click below to view Scott Aaron Syphers's 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®
NoneExperience
Current
September 26, 2007 - Present
BROAD REACH CAPITAL LLC
Office #1: 1101 Haynes St Suite 213, Raleigh, NC 27604RIA
CRD#: 144686
RALEIGH, NC
Past
September 26, 2007 - October 30, 2023
QUANTUM CAPITAL, LLC
BD
CRD#: 143530
DURHAM, NC
Past
August 16, 2005 - September 17, 2007
QA3 FINANCIAL LLC
RIA
CRD#: 104957
DURHAM, NC
Past
December 10, 2002 - September 17, 2007
QA3 FINANCIAL CORP.
BD
CRD#: 14754
DURHAM, NC
Past
July 22, 1998 - August 7, 1998
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
BR
BROAD REACH CAPITAL LLC
ANTHEM WEALTH MANAGEMENT | WEALTH PRESERVATION GROUP, LLC | BROAD REACH CAPITAL LLC | BROAD REACH CAPITAL
CRD#: 144686 / SEC#: 801-130959
RIA
Registered Investment Advisory firm - (8/21/2024 Approved)Connecticut
Registered Investment Advisory firm - (1/10/2017 Terminated)Florida
Registered Investment Advisory firm - (12/13/2017 Terminated)Georgia
Registered Investment Advisory firm - (8/23/2024 Terminated)Louisiana
Registered Investment Advisory firm - (12/3/2013 Terminated)Maryland
Registered Investment Advisory firm - (2/27/2014 Terminated)Massachusetts
Registered Investment Advisory firm - (8/23/2024 Terminated)Mississippi
Registered Investment Advisory firm - (12/13/2013 Terminated)New Jersey
Registered Investment Advisory firm - (1/2/2018 Terminated)North Carolina
Registered Investment Advisory firm - (8/28/2024 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/14/2017 Terminated)South Carolina
Registered Investment Advisory firm - (12/13/2017 Terminated)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
Georgia(12/16/2022)
IAR
Massachusetts(5/20/2014)
IAR
North Carolina(9/26/2007)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
BR
BROAD REACH CAPITAL LLC
ANTHEM WEALTH MANAGEMENT | WEALTH PRESERVATION GROUP, LLC | BROAD REACH CAPITAL LLC | BROAD REACH CAPITAL
CRD#: 144686 / SEC#: 801-130959
RIA
Registered Investment Advisory firm - (8/21/2024 Approved)Connecticut
Registered Investment Advisory firm - (1/10/2017 Terminated)Florida
Registered Investment Advisory firm - (12/13/2017 Terminated)Georgia
Registered Investment Advisory firm - (8/23/2024 Terminated)Louisiana
Registered Investment Advisory firm - (12/3/2013 Terminated)Maryland
Registered Investment Advisory firm - (2/27/2014 Terminated)Massachusetts
Registered Investment Advisory firm - (8/23/2024 Terminated)Mississippi
Registered Investment Advisory firm - (12/13/2013 Terminated)New Jersey
Registered Investment Advisory firm - (1/2/2018 Terminated)North Carolina
Registered Investment Advisory firm - (8/28/2024 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/14/2017 Terminated)South Carolina
Registered Investment Advisory firm - (12/13/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1101 Haynes St Suite 213, Raleigh, NC 27604
Mailing Address
Phone number
(919) 309-9325
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 30 |
| AUM (Assets Under Management) | $ 125,952,819 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
BROAD REACH CAPITAL LLC
CRD#: 144686Raleigh, NC 27604TRUST BUT VERIFY
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