John A. Scholtes
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.
John Andre Scholtes was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1988. John had worked at 15 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2012 - February 1, 2013
MAXIM GROUP LLC
January 21, 2010 - May 24, 2012
NOBLE CAPITAL MARKETS, INC.
January 28, 2009 - April 12, 2010
HUDSON CAPITAL ADVISORS BD LLC
April 30, 2007 - June 19, 2008
LEGEND MERCHANT GROUP, INC.
June 30, 2006 - May 10, 2007
VFINANCE INVESTMENTS, INC
August 25, 2005 - July 11, 2006
DAWSON JAMES SECURITIES, INC.
December 2, 2004 - September 21, 2005
HALPERN CAPITAL, INC.
October 25, 2004 - December 7, 2004
DAWSON JAMES SECURITIES, INC.
February 20, 2001 - October 25, 2004
STERLING FINANCIAL INVESTMENT GROUP, INC.
April 1, 1999 - August 9, 2000
CARLIN EQUITIES, LLC
June 13, 1997 - January 2, 1998
PRUDENTIAL EQUITY GROUP, LLC
December 6, 1993 - June 3, 1997
UBS FINANCIAL SERVICES INC.
May 25, 1989 - December 22, 1993
CITIGROUP GLOBAL MARKETS INC.
May 8, 1989 - July 3, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
January 30, 1989 - March 22, 1989
GULFSTREAM FINANCIAL ASSOCIATES, INC.
September 14, 1988 - January 18, 1989
GRUNTAL & CO., L.L.C.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MAXIM GROUP LLC
CRD#: 120708 / SEC#: , 8-65337
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAXIM PARTNERS LLC | MEMBER | |
| EVANS, TIPTON HAMLIN | CHIEF COMPLIANCE OFFICER | 6118339 |
| FIORE, CHRISTOPHER JAMES | CO-PRESIDENT, DIRECTOR OF CAPITAL MARKETS | 2269479 |
| GLASSBERG, LAWRENCE COOPER | CO-HEAD OF INVESTMENT BANKING | 4813201 |
| LAROSA, PAUL GEORGE | HEAD OF SYNDICATE/ACTING DIRECTOR OF ASSET MANAGEMENT | 1900695 |
| MESSINGER, MICHAEL SPENCER | MSP | 1403506 |
| MURPHY, TIMOTHY GERARD | FINOP/CFO | 1836629 |
| SIEGEL, JAMES EDWARD | GENERAL COUNSEL | 4490472 |
| TELLER, CLIFFORD ADAM | CHIEF EXECUTIVE OFFICER/CHAIRMAN | 4631188 |
| VEERA, RITESH MOTILAL | CO-HEAD OF INVESTMENT BANKING | 4994814 |
| VENDETTI, ANTHONY VINCENT | DIRECTOR OF RESEARCH | 2574608 |
| VITALE, WILLIAM CHRISTIAN | DIRECTOR OF TRADING | 2669953 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 1 |
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.
