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James John Scholz

Cetera Investment Services LLC

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About James John Scholz

James John Scholz is a financial professional with experience in the securities industry. James holds the Series 99 Operations Professional Examination and the Securities Industry Essentials Examination. James is currently registered with Cetera Investment Services LLC.

Firm Information

James Scholz is currently registered with Cetera Investment Services LLC. Cetera Investment Services LLC is a Limited Liability Company formed on November 30, 2012, and approved to operate in 53 states and the District of Columbia. The firm has 1 approved SEC registration and 53 approved state registrations. Cetera Investment Services LLC has a history of regulatory events (11 reported) and arbitration disclosures (3 reported).

Not reported

Assets Under Management

Not reported

Total Clients

372

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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James Scholz’s Registration & Firm History

MN

06/24/2015 - Present

Cetera Investment Services LLC (ST CLOUD MN)

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Licenses & Designations

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/24/2015

Series 99 - Operations Professional Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James John Scholz.
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