SW
Scott J. Wallach
AURORA PRIVATE WEALTH
Rockaway, NJ 07866
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CRD#: 3108314
SW
Professional summary
Scott Jason Wallach is a registered financial advisor currently at AURORA PRIVATE WEALTH, INC. located in Rockaway, New Jersey and APW CAPITAL, INC. located in Rockaway, New Jersey.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Scott has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 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.
Aurora Private Wealth, Inc., Investment Related, Parsippany, NJ, RIA, IAR, since Oct., 2017.
"Scott Jason", Investment related:No, 100 Lowell Rd, Glen Rock, New Jersey, 07652, Music Production, Music Production, 06/01/2020, Few hours a month, Music
CRS (Client Relationship Summary) - RIA
Click below to view Scott Jason Wallach'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
December 7, 2017 - Present
AURORA PRIVATE WEALTH, INC.
Office #1: 100 Enterprise Drive Suite 504, Rockaway, NJ 07866RIA
CRD#: 281604
Rockaway, NJ
Current
November 21, 2017 - Present
APW CAPITAL, INC.
Office #1: 100 Enterprise Drive, Rockaway, NJ 07866Office #2: 100 Enterprise Drive, Suite 504, Rockaway, NJ 07866BD
CRD#: 43814
Rockaway, NJ
Past
April 26, 2007 - October 11, 2017
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
PARAMUS, NJ
Past
July 1, 2003 - October 11, 2017
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
PARAMUS, NJ
Past
December 23, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
January 1, 1999 - December 22, 1999
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
August 25, 1998 - December 14, 1998
CONTINENTAL BROKER-DEALER CORP.
BD
CRD#: 14048
CARLE PLACE, NY
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".
AP
AURORA PRIVATE WEALTH, INC.
ARTISAN ADVISORS, INC. | WEALTHPLAN ADVANTAGE | WEALTH PLAN ADVANTAGE | WACHTEL CAPITAL ADVISORS | STERLING GLOBAL STRATEGIES | STANDARD PENSION SERVICES | SPRING DELTA ASSET MANAGEMENT | PLANNED PROFESSIONAL ADVISORY | NIELSEN FINANCIAL GROUP | MOORE WEALTH MANAGEMENT | MAIN STREET PRIVATE ADVISORS | JFL TOTAL WEALTH MANAGEMENT | INDIGO WEALTH MANAGEMENT | HARPER & HODGE | BRIO FINANCIAL SERVICES | AURORA PRIVATE WEALTH, INC.
CRD#: 281604 / SEC#: 801-110498
RIA
Registered Investment Advisory firm - (5/5/2017 Approved)California
Registered Investment Advisory firm - (6/4/2017 Terminated)Florida
Registered Investment Advisory firm - (5/5/2017 Terminated)New Jersey
Registered Investment Advisory firm - (5/24/2017 Terminated)Ohio
Registered Investment Advisory firm - (5/5/2017 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(11/22/2017)
RR
Connecticut(12/8/2017)
RR
Maryland(11/30/2017)
RR
New Jersey(12/7/2017)
IAR
New Jersey(12/7/2017)
RR
New York(12/8/2017)
RR
Pennsylvania(1/17/2018)
RR
Virginia(1/25/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AP
AURORA PRIVATE WEALTH, INC.
ARTISAN ADVISORS, INC. | WEALTHPLAN ADVANTAGE | WEALTH PLAN ADVANTAGE | WACHTEL CAPITAL ADVISORS | STERLING GLOBAL STRATEGIES | STANDARD PENSION SERVICES | SPRING DELTA ASSET MANAGEMENT | PLANNED PROFESSIONAL ADVISORY | NIELSEN FINANCIAL GROUP | MOORE WEALTH MANAGEMENT | MAIN STREET PRIVATE ADVISORS | JFL TOTAL WEALTH MANAGEMENT | INDIGO WEALTH MANAGEMENT | HARPER & HODGE | BRIO FINANCIAL SERVICES | AURORA PRIVATE WEALTH, INC.
CRD#: 281604 / SEC#: 801-110498
RIA
Registered Investment Advisory firm - (5/5/2017 Approved)California
Registered Investment Advisory firm - (6/4/2017 Terminated)Florida
Registered Investment Advisory firm - (5/5/2017 Terminated)New Jersey
Registered Investment Advisory firm - (5/24/2017 Terminated)Ohio
Registered Investment Advisory firm - (5/5/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
100 Enterprise Drive Suite 504, Rockaway, NJ 07866
Mailing Address
Phone number
(973) 394-0404
Established
Firm type
Fiscal year end
# of Employees
25
SEC notice filing (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,843 |
| AUM (Assets Under Management) | $ 395,308,639 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
