John L. Schautz
Professional summary
John Louis Schautz III is a registered financial professional currently at TD PRIVATE CLIENT WEALTH LLC located in Mt. Laurel, New Jersey.
John is registered as a RR (Registered Representative) and started their career in finance in 1985. John has worked at 2 firms and has passed the Series 7TO, Series 99TO, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Louis Schautz III's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 22, 2013 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 9000 Horizon Way, Mt. Laurel, NJ 08054November 20, 1985 - July 11, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/17/2013)
Exams
Series 7TO
Date: 3/26/2025
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 | ||
| 12/21/2022 |
Red Flags
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