Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you C? Claim Your ProfileC Scott Sutcliff is a financial advisor registered with Wells Fargo Clearing Services, LLC in Newport Beach, California. Christopher Sutcliff has been in the financial industry since November 1992 and is licensed to provide investment advice in 23 states. Sutcliff has a broad range of experience with different types of clients, from high net worth individuals to corporations and pension plans.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
07/30/2021 - Present
Wells Fargo Clearing Services, LLC (NEWPORT BEACH CA)
CA
01/23/2009 - 08/06/2021
UBS FINANCIAL SERVICES INC. (BREA CA)
CA
11/18/1992 - 01/27/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SANTA ANA CA)
IA
Issued 10/31/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/13/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/05/2001
Series 31 - Futures Managed Funds Examination
BC
Issued 11/09/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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