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James M. Scholz

Pershing LLC

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About James M. Scholz

James M. Scholz is a financial professional with over 30 years of experience in the industry. James is currently registered with Pershing LLC in Jersey City, New Jersey. Prior to that, James worked at Seligman Advisors, Inc. in Boston, Massachusetts, and Copeland Equities, Inc. in Somerset, New Jersey. James holds several licenses, including Series 7, 6, 63, SIE, and Series 99TO. James is also registered with the state of New Jersey and New York.

Firm Information

James Scholz is currently registered with Pershing LLC. Pershing LLC is a Limited Liability Company formed in January 2003. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. They have one approved SEC registration and 53 approved state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

692

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

NJ

03/02/2011 - Present

Pershing LLC (JERSEY CITY NJ)

NJ

12/03/1997 - 12/17/2010

PERSHING LLC (JERSEY CITY NJ)

MA

03/19/1997 - 10/22/1997

SELIGMAN ADVISORS, INC. (BOSTON MA)

NJ

04/23/1992 - 03/18/1996

COPELAND EQUITIES, INC. (SOMERSET NJ)

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Licenses & Designations

BC

Issued 05/06/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/12/2017

Series 7 - General Securities Representative Examination

BC

Issued 04/22/1992

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

MIAX Sapphire

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for James M. Scholz.
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