SJ
Scott W. Jolly
PERSHING LLC
Lake Mary, FL 32746
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CRD#: 1723451
SJ
Professional summary
Scott W. Jolly, who also goes by Scott W Jolly, Scott Walter Jolly, is a registered financial professional currently at PERSHING LLC located in Lake Mary, Florida and PERSHING ADVISOR SOLUTIONS LLC located in Lake Mary, Florida.
Scott is registered as a RR (Registered Representative) and started their career in finance in 1987. Scott has worked at 7 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Scott W Jolly | Scott Walter Jolly
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.
CRS (Client Relationship Summary) - BD
Click below to view Scott W. Jolly's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 23, 2009 - Present
PERSHING LLC
Office #1: 600 Colonial Center Parkway, Lake Mary, FL 32746Office #2: 300 Colonial Center Parkway, Lake Mary, FL 32746BD
CRD#: 7560
Lake Mary, FL
Current
June 2, 2022 - Present
PERSHING ADVISOR SOLUTIONS LLC
Office #1: 300 Colonial Center Parkway 4th Floor, Lake Mary, FL 32746Office #2: 600 Colonial Center Parkway, Lake Mary, FL 32746BD
CRD#: 36671
Lake Mary, FL
Past
January 12, 2005 - March 20, 2009
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
MAITLAND, FL
Past
March 28, 2003 - November 29, 2004
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
, FL
Past
November 19, 1991 - November 29, 2004
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
August 29, 1991 - October 15, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
August 29, 1991 - October 15, 1991
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
July 11, 1989 - August 16, 1991
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
August 18, 1987 - June 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(12/23/2009)
RR
New York(12/23/2009)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 7/31/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 3/23/1994
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
PA
PERSHING ADVISOR SOLUTIONS LLC
PERSHING ADVISOR SOLUTIONS LLC | PERSHING TRADING COMPANY, L.P.
CRD#: 36671 / SEC#: , 8-47425
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
One Pershing Plaza, Jersey City, NJ 07399
Mailing Address
One Pershing Plaza, Jersey City, NJ 07399
Phone number
(201) 413-2000
Established
Delaware since 09/08/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAS HOLDINGS LLC | HOLDING COMPANY | |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| HARRISON, BENJAMIN WARD | BOARD MEMBER, HEAD OF THE BUSINESS | 3121159 |
| KEARNEY, JAMES FRANCIS III | CHIEF RISK OFFICER (CRO) | 6388373 |
| LOFLING, JASON ROBERT | BOARD MEMBER | 5177277 |
| MUTTERER, FRANK PAUL | CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 2088419 |
| WEISS, NINA KATE | CHIEF COMPLIANCE OFFICER (CCO), BOARD MEMBER | 2642331 |
Disclosures
| Regulatory Event | 17 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
PERSHING ADVISOR SOLUTIONS LLC
CRD#: 36671Lake Mary, FL 32746TRUST BUT VERIFY
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