Jay T. Scholz
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.
Jay Thomas Scholz was a registered financial professional .
Jay is a previously registered financial professional and started their career in finance in 1995. Jay had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2017 - May 16, 2023
SIGMA FINANCIAL CORPORATION
September 26, 2014 - March 30, 2017
GLOBAL RETIREMENT PARTNERS LLC
September 12, 2014 - April 12, 2017
LPL FINANCIAL LLC
March 11, 2014 - September 12, 2014
FINANCIAL TELESIS INC
February 13, 2014 - December 3, 2014
FINANCIAL TELESIS INC
July 25, 2011 - December 23, 2013
ALAMO ASSET ADVISORS
September 28, 2005 - July 5, 2011
MML INVESTORS SERVICES, LLC
April 18, 2005 - July 5, 2011
MML INVESTORS SERVICES, LLC
March 8, 1996 - July 24, 2003
CETERA WEALTH SERVICES, LLC
April 21, 1995 - December 31, 1995
OPPENHEIMER & CO. INC.
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
SIGMA FINANCIAL CORPORATION
CRD#: 14303 / SEC#: , 8-30466
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | TRUST (OWNER OF ALL VOTING SHARES) | |
| MCCLELLAN, JOHN ALEXANDER | CHIEF RISK AND BUSINESS OFFICER | 4016479 |
| PHILLIPS, RICHARD THOMAS | CHIEF COMPLIANCE OFFICER | 6041363 |
| PISTOR, RANDOLPH FULVIO | CHIEF LEGAL OFFICER | 5143334 |
| RYDELL, BRANDON DAVID | PRESIDENT | 2933397 |
| RYDELL, JEROME STANLEY | CEO, CHAIRMAN AND TRUSTEE OF THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | 408389 |
| WOOTON, RYAN DANIEL | CHIEF FINANCIAL OFFICER | 8006797 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 11 |
Red Flags
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