Unclaimed
Scott David Kligman is an active Registered Representative with BTG Pactual US Capital, LLC. Scott has been in the financial services industry since 2002. His career includes previous roles at UBS Financial Services Inc., EquityZen Securities LLC, J.P. Morgan Securities LLC, HSBC Securities (USA) Inc., NYLIFE Securities LLC, Sanford C. Bernstein & Co., LLC and NYLIFE Securities Inc.. Scott holds FINRA Series 3, 4, 7, 9, 10, 24, 52TO, 53 and 63 licenses. He is registered in New Jersey and New York.
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.
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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2
NY
04/19/2022 - Present
BTG Pactual US Capital, LLC (NEW YORK NY)
NJ
01/23/2020 - 04/27/2022
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
10/01/2019 - 11/08/2019
EQUITYZEN SECURITIES LLC (NEW YORK NY)
NY
07/14/2014 - 08/26/2019
J.P. MORGAN SECURITIES LLC (New York NY)
NY
10/30/2013 - 04/23/2014
HSBC SECURITIES (USA) INC. (NEW YORK NY)
NY
10/06/2006 - 10/22/2013
NYLIFE SECURITIES LLC (NEW YORK NY)
NY
08/25/2004 - 08/16/2005
SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)
NY
11/15/2000 - 08/31/2004
NYLIFE SECURITIES INC. (NEW YORK NY)
BC
Issued 06/11/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/28/2022
Series 4 - Registered Options Principal Examination
BC
Issued 11/15/2016
Series 53 - Municipal Securities Principal Examination
BC
Issued 03/15/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/22/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/10/2004
Series 24 - General Securities Principal Examination
BC
Issued 05/06/2024
Series 3 - National Commodity Futures Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/14/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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