Richard M. 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.
Richard Michael Schultz, who also goes by Richard Michael Scholtz, Richard M Schultz, Richard Schultz, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1989. Richard had worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2001 - December 31, 2015
CADARET, GRANT & CO., INC.
May 25, 1999 - February 5, 2001
PARK AVENUE SECURITIES LLC
March 20, 1997 - December 14, 1998
HORNOR, TOWNSEND & KENT, LLC
May 7, 1996 - February 27, 1997
NATHAN & LEWIS SECURITIES, INC.
July 13, 1995 - May 10, 1996
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
December 12, 1994 - July 19, 1995
APEX CLEARING CORPORATION
January 26, 1994 - December 13, 1994
INTESA SANPAOLO IMI SECURITIES CORP.
February 10, 1989 - June 7, 1989
CITISTREET EQUITIES LLC
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
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
