Scott R. Wachs
Professional summary
Scott Robert Wachs, who also goes by Scott R Wachs, is a registered financial advisor currently at CITY NATIONAL ROCHDALE located in New York, New York and CNR SECURITIES, LLC located in New York, New York.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Scott has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Scott Robert Wachs's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 21, 2017 - Present
CITY NATIONAL ROCHDALE
Office #1: 400 Park Avenue, New York, NY 10022August 21, 2017 - Present
CNR SECURITIES, LLC
Office #1: 400 Park Avenue 6th Floor, New York, NY 10022January 3, 2015 - February 13, 2017
UBS FINANCIAL SERVICES INC.
October 14, 2014 - February 13, 2017
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/21/2017)
(3/24/2022)
(7/24/2023)
(3/16/2022)
(8/21/2017)
(4/5/2021)
(8/1/2023)
(2/13/2025)
Exams
FINRA
Current Firm
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,300 |
| AUM (Assets Under Management) | $ 68,177,828,012 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
Red Flags
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