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Scott David Kligman

BTG Pactual US Capital, LLC

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About Scott David Kligman

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.

Firm Information

Scott Kligman is currently registered with BTG Pactual US Capital, LLC. BTG Pactual US Capital, LLC is a Limited Liability Company formed in May 2009. The firm is registered with the Securities and Exchange Commission and has a presence in 49 states across the U.S.

Not reported

Assets Under Management

Not reported

Total Clients

32

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.

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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Scott Kligman’s Registration & Firm History

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)

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Licenses & Designations

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

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Scott David Kligman.
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