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KS

Kevin M. Schultz

TRIAD SECURITIES CORP
New York, NY 10006
Some features on this profile are disabled
CRD#: 1779792
KS

Professional summary

Kevin Matthew Schultz is a registered financial professional 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kevin Matthew Schultz's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 25, 2008 - Present

TRIAD SECURITIES CORP

Office #1: 111 Broadway 11th Floor, New York, NY, 10006
BD
CRD#: 11363
New York, NY
Past

January 1, 2007 - April 13, 2007

MILLENCO LLC

BD
CRD#: 33726
NEW YORK, NY
Past

June 19, 1989 - March 13, 1991

TRIAD SECURITIES CORP

BD
CRD#: 11363

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/31/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/28/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

TS
TRIAD SECURITIES CORP
TRIAD SECURITIES CORP

CRD#: 11363 / SEC#: , 8-20930

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
111 Broadway 11th Floor, New York, NY 10006-9401
Mailing Address
111 Broadway 11th Floor, New York, NY 10006-9401
Phone number
(212) 349-8060
Established
New York since 07/13/1976
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (42 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
KEVIN M. SCHULTZ 2020 GST EXEMPT TRUSTSHAREHOLDER
ARTICLE 6TH TRUST UW RICHARD SCHULTZ, JUDITH SCHULTZ TTEESHAREHOLDER
CYNTHIA HORNIG 2011 GST EXEMPT TRUST U/D 8/10/2011SHAREHOLDER
KEVIN SCHULTZ 2011 GST EXEMPT TRUST U/D 8/10/2011SHAREHOLDER
FISHER, KENNETH ALANCEO4631540
GOLDSMITH, LAWRENCE HARRYDIRECTOR OF OPERATIONS/PRESIDENT1386783
HOEHLER, TIMOTHY WILLIAMCHIEF COMPLIANCE OFFICER2176769
HORNIG, CYNTHIATRUSTEE-CYNTHIA HORNIG TRUST5989716
LINDEN, ARTHUR AARONSECRETARY/TREASURER1230452
ROTHENBERG, SHARI PFINOP/POO6590875
SCHULTZ, JUDITHTRUSTEE-ARTICLE 6TH TRUST6041541
SCHULTZ, KEVIN MATTHEWTRUSTEE-KEVIN M. SCHULTZ 2020 GST EXEMPT TRUST1779792
SCHULTZ, KEVIN MATTHEWTRUSTEE-KEVIN SCHULTZ TRUST1779792

Disclosures

Regulatory Event2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

TRIAD SECURITIES CORP

CRD#: 11363New York, NY 10006

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