Kevin Matthew Schultz
Professional Summary
Kevin Matthew Schultz is a registered financial advisor currently at TRIAD SECURITIES CORP located in New York, New York. Kevin is registered as a RR (Registered Representative) and started their career in finance in 1989. Kevin has worked at 2 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
37 years in the financial services industry
Current & Past Employments
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Current Firm
TRIAD SECURITIES CORP
Contact Information
Main Address
111 Broadway 11th Floor, New York, NY 10006-9401Mailing Address
111 Broadway 11th Floor, New York, NY 10006-9401Phone Number
(212) 349-8060Established
New York since 07/13/1976Firm Type
CorporationFiscal Year End
JuneFirm Size
SmallFINRA licenses (42 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KEVIN M. SCHULTZ 2020 GST EXEMPT TRUST | SHAREHOLDER | — |
| ARTICLE 6TH TRUST UW RICHARD SCHULTZ, JUDITH SCHULTZ TTEE | SHAREHOLDER | — |
| CYNTHIA HORNIG 2011 GST EXEMPT TRUST U/D 8/10/2011 | SHAREHOLDER | — |
| KEVIN SCHULTZ 2011 GST EXEMPT TRUST U/D 8/10/2011 | SHAREHOLDER | — |
| FISHER, KENNETH ALAN | CEO | 4631540 |
| GOLDSMITH, LAWRENCE HARRY | DIRECTOR OF OPERATIONS/PRESIDENT | 1386783 |
| HOEHLER, TIMOTHY WILLIAM | CHIEF COMPLIANCE OFFICER | 2176769 |
| HORNIG, CYNTHIA | TRUSTEE-CYNTHIA HORNIG TRUST | 5989716 |
| LINDEN, ARTHUR AARON | SECRETARY/TREASURER | 1230452 |
| ROTHENBERG, SHARI P | FINOP/POO | 6590875 |
| SCHULTZ, JUDITH | TRUSTEE-ARTICLE 6TH TRUST | 6041541 |
| SCHULTZ, KEVIN MATTHEW | TRUSTEE-KEVIN M. SCHULTZ 2020 GST EXEMPT TRUST | 1779792 |
| SCHULTZ, KEVIN MATTHEW | TRUSTEE-KEVIN SCHULTZ TRUST | 1779792 |
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Kevin Matthew Schultz's CRS (Customer Relationship Summary).
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