Lynn G. Schultz
Professional summary
Lynn Gordon Schultz was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Lynn Gordon Schultz was a registered financial professional .
Lynn is a previously registered financial professional and started their career in finance in 1982. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 2006 - March 17, 2010
MERCER CAPITAL LTD.
July 20, 2004 - February 27, 2006
MAY, DAVIS GROUP INC.
July 21, 1999 - January 2, 2003
MULTI SPECTRUM INVESTING CORPORATION
April 14, 1999 - July 26, 1999
COLEMAN & COMPANY SECURITIES, INC.
August 12, 1998 - February 5, 1999
HOBBS MELVILLE SECURITIES CORP.
April 11, 1997 - June 17, 1998
FIRST METROPOLITAN SECURITIES, INC.
March 13, 1997 - April 9, 1997
ASH FINANCIAL CORP.
October 24, 1996 - April 9, 1997
MAGDENSBURG SECURITIES CORP.
March 27, 1996 - March 17, 1997
LEGEND MERCHANT GROUP, INC.
January 4, 1996 - April 12, 1996
CANTELLA & CO., INC.
February 26, 1990 - January 11, 1996
BUTTONWOOD SECURITIES, INC.
October 18, 1983 - February 3, 1990
BA INVESTMENT SERVICES, INC.
July 20, 1983 - October 18, 1983
KKL & CO., INC.
June 22, 1982 - July 18, 1983
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 10/19/1999
Limited Representative-Equity Trader ExamSeries 8
Date: 12/13/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MERCER CAPITAL LTD.
CRD#: 104012 / SEC#: , 8-52473
Contact information
Documents
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 | 1 |
| Arbitration | 6 |
Red Flags
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.
