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Scott Robert Wachs

Rbc Rochdale, LLC

New York, NY

New York, NY

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Current Employers
Rbc Rochdale, Llc

400 Park Avenue 10Th Floor, New York, NY 10022 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-02-13
NC RA APPROVED 2023-08-01
KY RA APPROVED 2023-07-24
NY RA APPROVED 2021-04-05
CA RA APPROVED 2017-08-21
  • TX RA
    APPROVED_RES
    Since 2025-02-13
  • NC RA
    APPROVED
    Since 2023-08-01
  • KY RA
    APPROVED
    Since 2023-07-24
  • NY RA
    APPROVED
    Since 2021-04-05
  • CA RA
    APPROVED
    Since 2017-08-21

Branch Locations

400 Park Avenue 10Th Floor, New York, NY 10022 • United States

400 Park Avenue, New York, NY 10022 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Diamond Capadvisors Los Angeles CA 08/2013 Present
Ubs Financial Services Inc Los Angeles CA 04/2014 Present
City National Rochdale New York NY 08/2017 Present
  • 08/2013 → Present
    Diamond Capadvisors
    Los Angeles, CA
  • 04/2014 → Present
    Ubs Financial Services Inc
    Los Angeles, CA
  • 08/2017 → Present
    City National Rochdale
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-01-02
S63 Uniform Securities Agent State Law Examination 2014-02-18
  • S66 Uniform Combined State Law Examination
    2015-01-02
  • S63 Uniform Securities Agent State Law Examination
    2014-02-18
Other Names
  • Scott R Wachs

View on SEC IAPD

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