Michael W. 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.
Michael William Scholtes, who also goes by Michael W Scholtes, Michal Scholtes, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2001. Michael had worked at 4 firms and has passed the Series 63, SIE, Series 82, Series 55, Series 7 and Series 3 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, 2018 - June 20, 2018
MARCH CAPITAL CORP.
July 6, 2005 - August 2, 2005
CHASE INVESTMENT SERVICES CORP.
May 16, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
September 4, 2001 - February 21, 2002
PETERS SECURITIES CO., LP
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
Series 55
Date: 9/28/2001
Limited Representative-Equity Trader ExamCurrent Firm
MARCH CAPITAL CORP.
CRD#: 24142 / SEC#: , 8-41173
Contact information
FINRA licenses (24 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RICE, RICHARD JAY | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 725697 |
Regulatory assets under management
| Total Number of Accounts | 3 |
| AUM (Assets Under Management) | $ 83,479,520 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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