PS
Peter D. Scholtz
SCHOLTZ & COMPANY
Stamford, CT 06902
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CRD#: 873183
PS
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.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Peter Dwight Scholtz'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®
NoneExperience
Current
January 22, 2009 - Present
SCHOLTZ & COMPANY, LLC
Office #1: 107 Elm Street Four Stamford Plaza 5th Floor, Stamford, CT, 06902RIA
CRD#: 107363
Stamford, CT
Past
July 5, 2007 - December 31, 2008
SCHOLTZ & COMPANY, LLC
RIA
CRD#: 107363
NEW YORK, NY
Past
November 1, 1979 - May 4, 1994
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
S&
SCHOLTZ & COMPANY, LLC
SCHOLTZ & CO | SCHOLTZ & COMPANY, LLC | SCHOLTZ & COMPANY, L.L.C. | SCHOLTZ & CO LTD PARTNERSHIP
CRD#: 107363 / SEC#: 801-77840
RIA
Registered Investment Advisory firm - (4/3/2013 Approved)California
Registered Investment Advisory firm - (6/5/2013 Terminated)Connecticut
Registered Investment Advisory firm - (5/17/2013 Terminated)Florida
Registered Investment Advisory firm - (5/6/2013 Terminated)Louisiana
Registered Investment Advisory firm - (5/15/2013 Terminated)Massachusetts
Registered Investment Advisory firm - (5/6/2013 Terminated)New York
Registered Investment Advisory firm - (5/6/2013 Terminated)Texas
Registered Investment Advisory firm - (5/6/2013 Terminated)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.Highlighted states indicate IAR registrations
IAR
Connecticut(6/29/2012)
IAR
Louisiana(7/5/2012)
IAR
Texas(1/22/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 2
Date: 11/1/1994
Non-Member General Securities ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 10/14/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
Current Firm
S&
SCHOLTZ & COMPANY, LLC
SCHOLTZ & CO | SCHOLTZ & COMPANY, LLC | SCHOLTZ & COMPANY, L.L.C. | SCHOLTZ & CO LTD PARTNERSHIP
CRD#: 107363 / SEC#: 801-77840
RIA
Registered Investment Advisory firm - (4/3/2013 Approved)California
Registered Investment Advisory firm - (6/5/2013 Terminated)Connecticut
Registered Investment Advisory firm - (5/17/2013 Terminated)Florida
Registered Investment Advisory firm - (5/6/2013 Terminated)Louisiana
Registered Investment Advisory firm - (5/15/2013 Terminated)Massachusetts
Registered Investment Advisory firm - (5/6/2013 Terminated)New York
Registered Investment Advisory firm - (5/6/2013 Terminated)Texas
Registered Investment Advisory firm - (5/6/2013 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
107 Elm Street Four Stamford Plaza 5th Floor, Stamford, CT, 06902
Mailing Address
Phone number
(203) 714-9900
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 362 |
| AUM (Assets Under Management) | $ 313,673,404 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
