Kenneth R. Scholz

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CRD#: 1144652

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Kenneth Robert Scholz was a registered financial professional .

Kenneth is a previously registered financial professional and started their career in finance in 1983. Kenneth had worked at 11 firms and has passed the Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 6, 2002 - July 19, 2003

M.L. STERN & CO., LLC.

CRD#: 8327

BEVERLY HILLS, CA

Past

July 15, 1997 - October 27, 1998

LEGACY FINANCIAL SERVICES, INC.

CRD#: 38697

PETALUMA, CA

Past

June 29, 1992 - June 11, 1997

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

January 29, 1992 - June 16, 1992

HAMILTON INVESTMENTS, INC.

CRD#: 821

Past

November 18, 1991 - June 22, 1992

PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.

CRD#: 13741

EL PASO, TX

Past

July 31, 1990 - December 21, 1991

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

April 11, 1990 - June 22, 1990

BA INVESTMENT SERVICES, INC.

CRD#: 12965

OAKLAND, CA

Past

December 5, 1989 - January 25, 1990

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

CRD#: 14229

NORTHRIDGE, CA

Past

March 20, 1987 - September 21, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

December 18, 1985 - March 13, 1986

UR FINANCIAL, INC.

CRD#: 10509

Past

July 21, 1983 - May 31, 1985

MONY SECURITIES CORPORATION

CRD#: 4386

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 3/20/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/12/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/18/1983

Investment Company Products/Variable Contracts Representative Examination

Current Firm

M.L. STERN & CO., LLC.

M. L. STERN & CO, LLC. | M.L. STERN & CO., LLC. | M.L. STERN & CO. INC.

CRD#: 8327 / SEC#: , 8-25028

Terminated by SEC on 04/04/2009

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 03/08/1999

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
SWS GROUP, INC	DIRECT OWNDER
BENICKES, MILES LIONEL	EXECUTIVE VICE PRESIDENT	500836
KANG, ANDREW CHANG HO	FINANCIAL AND OPERATIONS PRINCIPAL; CHIEF FINANCIAL OFFICER	1892286
MAURER, DAVID	CHIEF COMPLIANCE OFFICER	4695817
STERN, MILFORD LEE	PRESIDENT	501622

Disclosures

Regulatory Event	10
Arbitration	7

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Kenneth R. Scholz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LEGACY FINANCIAL SERVICES, INC.

SENTRA SECURITIES CORPORATION

HAMILTON INVESTMENTS, INC.

PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.

CAPITAL BROKERAGE CORPORATION

BA INVESTMENT SERVICES, INC.

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

INTEGRATED RESOURCES EQUITY CORPORATION

UR FINANCIAL, INC.

MONY SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 3/20/2002

Series 7

Date: 3/12/2002

Series 6

Date: 7/18/1983

Current Firm

M.L. STERN & CO., LLC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

M.L. STERN & CO., LLC.

TRUST BUT VERIFY

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