Scott T. 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.
Scott Thomas Schultz was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1983. Scott had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 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
July 24, 2012 - December 31, 2017
SCOTT SCHULTZ CLOSED-END FUNDS, INC.
August 3, 2011 - December 31, 2014
SCOTT SCHULTZ CLOSED-END FUNDS, INC.
May 18, 2004 - February 2, 2017
CALTON & ASSOCIATES, INC.
July 31, 1998 - May 14, 2004
LASALLE ST SECURITIES, L.L.C.
August 5, 1997 - July 30, 1998
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 25, 1994 - July 29, 1997
DOMINION INVESTOR SERVICES, INC.
October 20, 1993 - April 29, 1994
NORTH AMERICAN FINANCIAL GROUP, INC.
September 4, 1990 - October 14, 1993
WELLS FARGO CLEARING SERVICES, LLC
March 30, 1989 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
August 9, 1985 - April 4, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 22, 1983 - August 12, 1985
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SCOTT SCHULTZ CLOSED-END FUNDS, INC.
CRD#: 121993 / SEC#: 801-62418
Contact information
Red Flags
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