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Douglas Scott Moxham

Clarfeld

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About Douglas Scott Moxham

Douglas Moxham is a financial advisor with Clarfeld in Tarrytown, NY. Douglas has over 20 years of experience in the financial services industry. Douglas is a Certified Financial Planner and holds the Series 7, Series 66 and SIE securities licenses.

Firm Information

Douglas Moxham is currently registered with Clarfeld. Clarfeld, a subsidiary of Citizens Bank, is an investment advisor with offices in TARRYTOWN, NY. With over 160 professionals, Clarfeld provides portfolio management for individuals, businesses, and investment companies. They manage over $12.7 billion in assets for over 7,300 clients, including high-net-worth individuals, corporations, charitable organizations, and investment companies. Clarfeld also offers a variety of advisory services, including selection of other advisors, financial planning, and educational seminars.
Clarfeld

520 WHITE PLAINS ROAD

TARRYTOWN, NY 10591

$12.69B

Assets Under Management

1,851

Total Clients

38

Total Financial Advisors

Services Offered

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.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Douglas Moxham’s Registration & Firm History

NY

03/12/2021 - Present

Clarfeld (TARRYTOWN NY)

NJ

01/19/2011 - 12/06/2018

PNC INVESTMENTS (MOORESTOWN NJ)

PA

12/06/2005 - 12/31/2008

PNC CAPITAL MARKETS LLC (PITTSBURGH PA)

NY

08/08/2001 - 11/08/2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 08/30/2001

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/07/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Douglas Scott Moxham.
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