John P. Van Scholten
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.
John Paul Van Scholten, who also goes by John P Vanscholten, John Paul Vanscholten, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1974. John had worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, Series 52TO, SIE, Series 15, Series 5, Series 3, Series 000, Series 1, Series 9, Series 10, Series 53, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2009 - January 20, 2023
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
June 8, 2009 - January 20, 2023
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
July 1, 2003 - June 9, 2009
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - June 9, 2009
WELLS FARGO CLEARING SERVICES, LLC
April 8, 2003 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
May 3, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1993 - March 5, 1999
CITIGROUP GLOBAL MARKETS INC.
April 3, 1988 - April 30, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 9, 1984 - July 31, 1993
LEHMAN BROTHERS INC.
January 23, 1980 - April 9, 1984
FOSTER & MARSHALL INC.
September 26, 1978 - February 22, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 10, 1976 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
March 7, 1974 - November 1, 1976
CITIGROUP GLOBAL MARKETS 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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 15
Date: 1/9/1986
Foreign Currency Options ExaminationSeries 5
Date: 6/27/1983
Interest Rate Options ExaminationSeries 000
Date: 3/5/1974
General Securities Principal ExaminationSeries 1
Date: 3/4/1974
Registered Representative ExaminationSeries 12
Date: 5/15/1982
NYSE Branch Manager ExaminationCurrent Firm
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
CRD#: 1254 / SEC#: 801-67179, 8-2915
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 2,712 |
| AUM (Assets Under Management) | $ 990,880,713 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2023 |
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.
