Robert C. Schultz
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.
Robert Carl Schultz was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1983. Robert had worked at 9 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2003 - May 14, 2019
HARBOR FUNDS DISTRIBUTORS, INC.
January 12, 2001 - August 15, 2002
NATIXIS DISTRIBUTION, LLC
January 1, 1997 - February 20, 2001
ALLIANCEBERNSTEIN INVESTMENTS, INC.
September 20, 1993 - January 6, 1997
VP DISTRIBUTORS LLC
January 1, 1991 - September 22, 1993
IVY DISTRIBUTORS, INC.
January 1, 1990 - October 10, 1990
AMERICAN FINANCE GROUP SECURITIES CORP.
July 8, 1987 - December 12, 1989
PRUDENTIAL EQUITY GROUP, LLC
September 4, 1985 - July 15, 1987
CITIGROUP GLOBAL MARKETS INC.
March 23, 1983 - September 13, 1985
E. F. HUTTON & COMPANY 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
Current Firm
HARBOR FUNDS DISTRIBUTORS, INC.
CRD#: 113506 / SEC#: , 8-53339
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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