James R. Scharff

STARK FINANCIAL ADVISERS

Charlotte, NC 28210

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CRD#: 3203336

Professional summary

James Richard Scharff, who also goes by James Richard Scharfef, is a registered financial advisor currently at STARK FINANCIAL ADVISERS, INC. located in Charlotte, North Carolina and R.M. STARK & CO., INC. located in Charlotte, North Carolina.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. James has worked at 2 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Richard Scharfef

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.

R.M. STARK & CO., INC. - INV-RELATED - CHARLOTTE, NC - BD - ASSISTANT BRANCH MANAGER - 03/1999-PRESENT - 160 HRS/MO DEVOTED - 120 HRS/MO DEVOTED DURING SECURITIES TRADING HRS - DUTIES INCLUDE CLIENT ACCOUNT MANAGEMENT AND ACCOUNT SUPERVISION, CLIENT RESEARCH AND CLIENT PORTFOLIO MANAGEMENT AND TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Richard Scharff'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

January 12, 2022 - Present

STARK FINANCIAL ADVISERS, INC.

Office #1: 10042 Park Cedar Drive Suite A, Charlotte, NC 28210

RIA

CRD#: 121213

Charlotte, NC

Current

June 2, 1999 - Present

R.M. STARK & CO., INC.

Office #1: 10042 Park Cedar Dr Ste A, Charlotte, NC 28210-8917

CRD#: 7612

Charlotte, NC

Past

October 15, 2016 - May 21, 2020

STARK FINANCIAL ADVISERS, INC.

RIA

CRD#: 121213

Charlotte, NC

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.

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

Florida
(1/8/2009)

Georgia
(2/17/2000)

Louisiana
(6/14/2021)

Missouri
(7/22/2021)

North Carolina
(6/17/1999)

IAR

North Carolina
(1/12/2022)

Ohio
(11/16/1999)

South Carolina
(1/24/2000)

Virginia
(9/25/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/4/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/16/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/1/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/26/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

STARK FINANCIAL ADVISERS, INC.

CRD#: 121213 / SEC#: 801-112583

RIA

Registered Investment Advisory firm - (9/26/2022 Terminated)

Florida

Registered Investment Advisory firm - (3/24/2022 Approved)

Georgia

Registered Investment Advisory firm - (5/26/2023 Approved)

North Carolina

Registered Investment Advisory firm - (6/1/2022 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

16950 U.s. Highway 441 North, Okeechobee, FL 34972

Mailing Address

Phone number

561-715-6073/863-697-8024

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	164
AUM (Assets Under Management)	$ 82,477,110

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

James R. Scharff

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Richard Scharff's CRS (Customer Relationship Summary).

Certified licenses

Experience

R.M. STARK & CO., INC.

STARK FINANCIAL ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/4/2016

Series 63

Date: 6/16/1999

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/1/1999

Series 24

Date: 5/26/2005

FINRA

Current Firm

STARK FINANCIAL ADVISERS, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

STARK FINANCIAL ADVISERS, INC.

TRUST BUT VERIFY

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