Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Alan Sangerman is a financial advisor with over 38 years of experience in the industry. Scott has been with RBC Capital Markets, LLC since March 2008, where Scott provides financial planning, pension consulting, and portfolio management services. Scott has held several other positions throughout Scott's career, including roles with Prudential Securities Incorporated, PaineWebber Incorporated, Smith Barney Inc., Lehman Brothers Inc., Oppenheimer & Co., Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Scott is registered with the state of California and is a Series 7, Series 31, Series 63, and Series 65 licensed representative. Scott's expertise spans a wide range of financial needs, including individual and business portfolio management, public and private employee benefit plans, endowment funds, foundations, family trusts, and various capital/operating funds.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
CA
09/19/2012 - Present
RBC Capital Markets, LLC (BEVERLY HILLS CA)
NY
11/09/1998 - 07/22/2002
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
09/16/1994 - 11/12/1998
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
07/31/1993 - 08/23/1994
SMITH BARNEY INC. (NEW YORK NY)
NY
02/03/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
06/05/1985 - 02/26/1992
OPPENHEIMER & CO., INC. (NEW YORK NY)
NA
01/06/1984 - 06/28/1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 06/25/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/04/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/30/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 12/17/1983
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, 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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