David R. 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.
David Roy Schultz was a registered financial advisor .
David is a previously registered financial advisor and started their career in finance in 1983. David had worked at 9 firms and has passed the Series 65, Series 63 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
October 24, 2002 - December 31, 2003
SUMMIT CAPITAL HOLDINGS
March 28, 1996 - December 31, 1996
SMH CAPITAL INVESTMENTS LLC
January 1, 1996 - March 21, 1996
IFG NETWORK SECURITIES, INC.
August 19, 1994 - January 1, 1996
COMPREHENSIVE FINANCIAL SERVICES, INC.
December 21, 1992 - May 31, 1994
A. G. EDWARDS & SONS, INC.
January 18, 1989 - December 22, 1992
PRUDENTIAL EQUITY GROUP, LLC
August 5, 1986 - January 28, 1989
KIDDER, PEABODY & CO. INCORPORATED
August 30, 1984 - August 11, 1986
E. F. HUTTON & COMPANY INC
November 23, 1983 - August 13, 1984
RIVIERE SECURITIES CORPORATION
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
No current employment
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.
