James S. Wolter

BROADREACH CAPITAL

Ponte Vedra Beach, FL

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CRD#: 1869174

Professional summary

James Scott Wolter, who also goes by J Scott Wolter, Scott Wolter, is a registered financial advisor currently at BROADREACH CAPITAL, LLC located in Ponte Vedra Beach, Florida.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. James has worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

J Scott Wolter | Scott Wolter

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.

MR. WOLTER IS THE MANAGING MEMBER OF BROADREACH PARTNERS, LLC, WHICH IS THE GENERAL PARTNER OF THE BROADREACH STRATEGY FUND, LP (CLOSED TO NEW INVESTORS). THIS IS AN INVESTMENT-RELATED BUSINESS. THE FUND IS A PRIVATE POOLED INVESTMENT VEHICLE THAT INVESTS CAPITAL IN A DIVERSE PORTFOLIO OF SECURITIES. MR. WOLTER DEVOTES APPROXIMATELY 4 HOURS A WEEK TO MANAGING THE ASSETS IN THE FUND ALL DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Scott Wolter'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®

None

Experience

Current

February 13, 2009 - Present

BROADREACH CAPITAL, LLC

RIA

CRD#: 142505

Ponte Vedra Beach, FL

Past

August 17, 2007 - December 31, 2008

BROKERSXPRESS LLC

RIA

CRD#: 127081

JACKSONVILLE BEACH, FL

Past

November 2, 2006 - December 31, 2008

BROKERSXPRESS LLC

CRD#: 127081

JACKSONVILLE BEACH, FL

Past

December 1, 2004 - October 31, 2006

OSAIC FA, INC.

RIA

CRD#: 3978

PONTE VEDRA BEACH, FL

Past

November 29, 2004 - April 5, 2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

JACKSONVILLE, FL

Past

November 29, 2004 - October 31, 2006

OSAIC FA, INC.

CRD#: 3978

PONTE VEDRA BEACH, FL

Past

April 7, 2003 - December 1, 2004

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

JACKSONVILLE, FL

Past

November 20, 2002 - December 1, 2004

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

July 10, 2001 - December 18, 2002

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

February 14, 1989 - July 20, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(2/13/2009)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/26/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/19/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/11/1989

General Securities Representative Examination

Current Firm

BROADREACH CAPITAL, LLC

BROADREACH CAPITAL, LLC | WOLTER, JAMES SCOTT | WOLTER CAPITAL MANAGEMENT | JAMES SCOTT WOLTER

CRD#: 142505 / SEC#:

Florida

Registered Investment Advisory firm - (2/13/2009 Approved)

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Contact information

Main Address

Ponte Vedra Beach, FL

Mailing Address

Phone number

(904) 868-0031

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	12
AUM (Assets Under Management)	$ 5,000,000

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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Advisor Monitoring

Firm Stability Insights

James S. Wolter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Scott Wolter's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROKERSXPRESS LLC

BROKERSXPRESS LLC

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

ROBERT W. BAIRD & CO. INCORPORATED

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/26/1999

Series 63

Date: 7/19/1989

Series 7

Date: 2/11/1989

Current Firm

BROADREACH CAPITAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BROADREACH CAPITAL, LLC

TRUST BUT VERIFY

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