Max J Scholfield

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2011 → 09/2022
  First Allied Securities, Inc
  San Diego, CA
• 11/2011 → 11/2020
  First Allied Advisory Services, Inc.
  Chesterfield, MO
• 11/2020 → 11/2020
  First Allied Advisory Services
  Schaumburg, IL
• 09/2022 → Present
  Cetera Advisors Llc
  Bella Vista, AR
• 11/2020 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2011-11-21 → 2020-11-12
  First Allied Advisory Services, Inc.
  San Diego, CA
  Durango, CO
• 2006-11-09 → 2011-11-29
  Ubs Financial Services Inc.
  Durango, CO
• 2001-04-13 → 2006-11-14
  Morgan Stanley Dw Inc.
  Durango, CO

Other Businesses

1.) MAX SCHOLFIELD; INVENTOR; START DATE 06/13/2012; 12 HRS. PER MONTH. 2.) SCHOLFIELD WEALTH MANAGEMENT;PARTNER; DBA; START DATE 02/15/2013; 160 HRS. PER MONTH. 3.) SCHOLFIELD FISHING;PARTNER; RETAIL SALES/STORE; START DATE 02/18/2013;25 HRS. PER MONTH; 4.) PALADIN LAND COMPANY; REAL ESTATE CONSULTANT; REAL ESTATE (AGENT/BROKER/DEVELOPER); START DATE 12/17/2020, 4 HOURS PER MONTH. 5.) NAME OF OTHER BUSINESS: BELLA VISTA FLY TYERS, INVESTMENT RELATED: NO, ADDRESS: 100 CANYON ROAD, BELLA VISTA, AR 72715, NATURE OF BUSINESS: FISHING AND CONSERVATION CLUB, START DATE: 01/2025, POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT, LESS THAN ONE HOUR PER WEEK, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: BOARD OF DIRECTORS; 6) NAME OF OTHER BUSINESS: FINRA RESOLUTION AND DISPUTE SERVICES; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: RESOLUTION AND DISPUTE SERVICES; START DATE: 12/2025; POSITION/TITLE/RELATIONSHIP: ARBITRATOR; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: HEAR THE ARGUMENTS FROM BOTH SIDES AND MY DECISION WILL MOST LIKELY BE ONE OF THREE TO DECIDE THE QUESTION;

Exams

• S65 Uniform Investment Adviser Law Examination
  2001-03-05
• S63 Uniform Securities Agent State Law Examination
  1990-10-08

Other Names

• Max Scholfield