Lynn Gordon Schultz
Professional Summary
Lynn Gordon Schultz was a registered financial advisor. Lynn was a previously registered financial professional and started their career in finance 1982 - 2010. Lynn had worked at 14 firms and has passed the Series 63, Series 55, Series 7, Series 6, Series 24, Series 4 and Series 8 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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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
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
44 years in the financial services industry
Current & Past Employments
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Current Firm
MERCER CAPITAL LTD. | NEWMARK SECURITIES LTD.
Contact Information
Established
Texas since 06/30/1999Firm Type
PartnershipFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ESTATE OF LEONARD C. DEMERS | PARTNER | — |
| SALINO, ANTHONY JOHN | CEO, CHIEF OPERATING OFFICER, PRESIDENT | 2162704 |
| BURAGLIO, KATHLEEN | ADMINISTRATOR OF ESTATE | — |
| COHEN, ROY | ASSISTANT COMPLIANCE OFFICER/ MSRB | 1633948 |
| DORMAN, ANDREW BENNETT | FINOP | 1135912 |
| SCHULTZ, LYNN GORDON | CHIEF COMPLIANCE OFFICER / SROP / CROP | 1052349 |
Disclosures
Regulatory Event
1Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Oct 1999Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jun 1982About the Series 6 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Dec 1989Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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