Patrick M. Scholz

JH KAUFMAN LLC

Lake Bluff, IL

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CRD#: 2196621

Professional summary

Patrick Manuel Scholz is a registered financial advisor currently at JH KAUFMAN LLC located in Lake Bluff, Illinois.

Patrick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Patrick has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 31, Series 55 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Patrick Manuel Scholz'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

March 20, 2018 - Present

JH KAUFMAN LLC

RIA

CRD#: 291053

Lake Bluff, IL

Past

April 19, 2016 - September 25, 2018

BCD ADVISORS

RIA

CRD#: 169468

Lake Bluff, IL

Past

October 22, 2014 - May 6, 2016

WEALTH & TAX PLANNERS LLC

RIA

CRD#: 136450

ALAMO, CA

Past

October 17, 2014 - April 21, 2016

MUTUAL SECURITIES, INC.

CRD#: 13092

Walnut Creek, CA

Past

August 13, 2012 - October 24, 2014

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

WALNUT CREEK, CA

Past

June 26, 2012 - October 24, 2014

MML INVESTORS SERVICES, LLC

CRD#: 10409

WALNUT CREEK, CA

Past

June 16, 2009 - February 10, 2010

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

WALNUT CREEK, CA

Past

January 9, 2008 - January 29, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

CONCORD, CA

Past

January 9, 2008 - January 29, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

CONCORD, CA

Past

July 25, 2006 - October 30, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WALNUT CREEK, CA

Past

June 15, 2006 - October 30, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WALNUT CREEK, CA

Past

May 9, 2006 - June 13, 2006

OPUS TRADING FUND LLC

CRD#: 125204

JERICHO, NY

Past

May 17, 2005 - March 16, 2006

JEFFERIES LLC

CRD#: 2347

NEW YORK, NY

Past

June 16, 1998 - May 12, 2004

KNIGHT CAPITAL MARKETS LLC

CRD#: 38379

PURCHASE, NY

Past

October 8, 1996 - May 19, 1998

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

February 1, 1995 - June 25, 1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

January 9, 1992 - December 15, 1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, 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

California
(5/18/2018)

IAR

Illinois
(3/20/2018)

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 66

Date: 7/25/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/16/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/21/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/25/2012

General Securities Representative Examination

General Industry/Product Exam

Series 31

Date: 2/12/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 55

Date: 8/31/1998

Limited Representative-Equity Trader Exam

Principal/Supervisory Exam

Series 24

Date: 7/11/2001

General Securities Principal Examination

Current Firm

JH KAUFMAN LLC

CORHAVEN TECHNOLOGIES LLC | MAXG2 | JH KAUFMAN LLC

CRD#: 291053 / SEC#:

California

Registered Investment Advisory firm - (5/18/2018 Approved)

Illinois

Registered Investment Advisory firm - (3/20/2018 Approved)

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Contact information

Main Address

Chicago, IL

Mailing Address

531 Mallard Ln, Deerfield, IL 60015

Phone number

(925) 705-5170

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	16
AUM (Assets Under Management)	$ 9,200,000

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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Firm Stability Insights

Patrick M. Scholz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Manuel Scholz's CRS (Customer Relationship Summary).

Certified licenses

Experience

BCD ADVISORS

WEALTH & TAX PLANNERS LLC

MUTUAL SECURITIES, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

CAMBRIDGE INVESTMENT RESEARCH, INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

OPUS TRADING FUND LLC

JEFFERIES LLC

KNIGHT CAPITAL MARKETS LLC

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 7/25/2012

Series 63

Date: 1/16/1992

SIE

Date: 4/21/2016

Series 7

Date: 6/25/2012

Series 31

Date: 2/12/2008

Series 55

Date: 8/31/1998

Series 24

Date: 7/11/2001

Current Firm

JH KAUFMAN LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

JH KAUFMAN LLC

TRUST BUT VERIFY

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