Joseph W. 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.
Joseph William Schultz, who also goes by Joseph William Schultz Jr, Joseph Schultz, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1987. Joseph had worked at 25 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, 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
October 17, 2023 - September 4, 2024
TZ CLEAR LLC
July 10, 2023 - September 19, 2023
TRADEZERO AMERICA, INC.
December 9, 2021 - May 24, 2023
VISION FINANCIAL MARKETS LLC
February 14, 2020 - December 6, 2021
VELOCITY CLEARING, LLC
May 10, 2018 - March 10, 2020
PRECISION SECURITIES, LLC
March 17, 2016 - May 25, 2018
SAGETRADER, LLC
May 7, 2015 - March 9, 2016
LODESTAR SECURITIES CORP.
November 5, 2014 - December 2, 2014
US TIGER SECURITIES, INC.
June 13, 2014 - October 15, 2014
BEACON GATE LLC
December 6, 2012 - April 30, 2014
STERLING SOFTWARE SERVICES, INC.
June 15, 2010 - December 31, 2011
WESTMINSTER FINANCIAL SECURITIES, INC.
July 2, 2004 - July 8, 2008
TRACK DATA SECURITIES CORPORATION
July 21, 2003 - October 15, 2003
FRANKLIN ROSS, INC.
May 16, 2003 - October 1, 2003
FIS BROKERAGE & SECURITIES SERVICES LLC
March 27, 2002 - March 20, 2003
E STREET ACCESS
March 17, 1999 - March 15, 2000
CARLIN EQUITIES, LLC
May 12, 1997 - September 1, 1998
GARDEN STATE SECURITIES, INC.
March 20, 1997 - May 30, 1997
CAPITAL PLANNING ASSOCIATES, INC.
March 1, 1996 - February 14, 1997
BOLTON GLOBAL CAPITAL
August 8, 1994 - February 5, 1996
OPPENHEIMER & CO. INC.
June 23, 1994 - August 8, 1994
REICH & CO., INC.
September 3, 1993 - March 9, 1994
CORTLANDT CAPITAL CORPORATION
February 4, 1993 - August 31, 1993
THE INVESTMENT CENTER, INC.
February 7, 1991 - November 18, 1992
REICH & CO., INC.
January 26, 1990 - February 4, 1991
DONALD & CO. SECURITIES INC.
December 22, 1987 - February 27, 1990
J. T. MORAN & 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 5/30/2012
Limited Representative-Equity Trader ExamCurrent Firm
TZ CLEAR LLC
CRD#: 8089 / SEC#: , 8-24511
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
Red Flags
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