MS
Max J. Scholfield
CETERA INVESTMENT ADVISERS LLC
BELLA VISTA, AR
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CRD#: 2092692
MS
Professional summary
Max J Scholfield, who also goes by Max Scholfield, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Bella Vista, Arkansas and CETERA ADVISORS LLC located in Bella Vista, Arkansas.
Max is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Max has worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Max Scholfield
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.
1.) MAX SCHOLFIELD; INVENTOR; START DATE 06/13/2012; 12 HRS. PER MONTH. 2.) SCHOLFIELD WEALTH MANAGEMENT;PARTNER; DBA; START DATE 02/15/2013; 160 HRS. PER MONTH. 3.) SCHOLFIELD FISHING;PARTNER; RETAIL SALES/STORE; START DATE 02/18/2013;25 HRS. PER MONTH; 4.) MAX SCHOLFIELD CDFA; PROJECT ASSISTANT; CONSULTING; START DATE 03/05/2015; 20 HOURS PER MONTH. 5.) PALADIN LAND COMPANY; REAL ESTATE CONSULTANT; REAL ESTATE (AGENT/BROKER/DEVELOPER); START DATE 12/17/2020, 4 HOURS PER MONTH. 6) NAME OF OTHER BUSINESS: BELLA VISTA FLY TYERS, INVESTMENT RELATED: NO, ADDRESS: 100 CANYON ROAD, BELLA VISTA, AR 72715, NATURE OF BUSINESS: FISHING AND CONSERVATION CLUB, START DATE: 01/2025, POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT, LESS THAN ONE HOUR PER WEEK, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: BOARD OF DIRECTORS;
CRS (Client Relationship Summary) - RIA
Click below to view Max J Scholfield'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
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
BELLA VISTA, AR
Current
September 8, 2022 - Present
CETERA ADVISORS LLC
BD
CRD#: 10299
BELLA VISTA, AR
Past
November 21, 2011 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
SAN DIEGO, CA
Past
November 21, 2011 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
BELLA VISTA, AR
Past
November 9, 2006 - November 29, 2011
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
DURANGO, CO
Past
November 9, 2006 - November 29, 2011
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
DURANGO, CO
Past
April 13, 2001 - November 14, 2006
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
DURANGO, CO
Past
September 19, 1990 - November 14, 2006
MORGAN STANLEY DW INC.
BD
CRD#: 7556
DURANGO, CO
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.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
Arizona(9/8/2022)
IAR
Arkansas(1/11/2022)
RR
Arkansas(9/8/2022)
RR
California(9/8/2022)
RR
Colorado(9/8/2022)
RR
Iowa(1/9/2024)
RR
Kansas(9/8/2022)
RR
Louisiana(9/8/2022)
RR
Maryland(9/8/2022)
RR
Michigan(9/8/2022)
RR
Missouri(9/8/2022)
RR
New Mexico(9/8/2022)
RR
Oklahoma(10/18/2023)
IAR
Texas(11/12/2020)
RR
Texas(9/8/2022)
RR
Washington(9/8/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 1/13/1997
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
