Peter Dwight Scholtz
Professional Summary
Peter Dwight Scholtz is a registered financial advisor currently at SCHOLTZ & COMPANY, LLC located in Stamford, Connecticut. Peter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1979. Peter has worked at 2 firms and has passed the Series 65, Series 63, Series 2, Series 5 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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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Years of Experience
47 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
SCHOLTZ & CO | SCHOLTZ & COMPANY, LLC | SCHOLTZ & COMPANY, L.L.C. | SCHOLTZ & CO LTD PARTNERSHIP
Contact Information
Main Address
107 Elm Street Four Stamford Plaza 5th Floor, Stamford, CT, 06902Phone Number
(203) 714-9900# of Employees
7SEC notice filing (9 States and Territories)
Registered to provide investment advisory services in 9 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
380AUM (Assets Under Management)
$340,511,697Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
SCHOLTZ & CO | SCHOLTZ & COMPANY, LLC | SCHOLTZ & COMPANY, L.L.C. | SCHOLTZ & CO LTD PARTNERSHIP
State Registrations and Notice Filings
(6/29/2012)
(7/5/2012)
(1/22/2009)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 2 — Non-Member General Securities Examination
Passed Nov 1994Series 5 — Interest Rate Options Examination
Passed Oct 1981Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Peter Dwight Scholtz's CRS (Customer Relationship Summary).
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