Roy F. Schichtl
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Roy Franklin Schichtl, who also goes by Butch Schichtl, was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1983. Roy had worked at 4 firms and has passed the Series 65, Series 63, Series 79TO, Series 72, SIE, Series 62, Series 52, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 1991 - December 5, 2024
R.M. DUNCAN SECURITIES, INC.
September 7, 1988 - September 27, 1990
APPLE SECURITIES, INC.
December 21, 1984 - September 14, 1988
L.A. BOYKIN & ASSOCIATES, INC.
January 27, 1983 - March 16, 1984
TOWNES & CO., 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 62
Date: 1/23/1989
Corporate Securities Limited Representative ExaminationCurrent Firm
R.M. DUNCAN SECURITIES, INC.
CRD#: 14344 / SEC#: , 8-30534
Contact information
FINRA licenses (19 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
