Eric V. Schultz
Professional summary
Eric Vonn Schultz was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Eric is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Eric had worked at 6 firms, which includes SCHOFF & BAXTER INC., GLENFED BROKERAGE SERVICES, FIMCO SECURITIES GROUP INC., GREAT WESTERN FINANCIAL SECURITIES CORPORATION, OSAIC WEALTH INC., INTEGRATED RESOURCES EQUITY CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 1997 - March 13, 2000
SCHOFF & BAXTER, INC.
July 12, 1995 - September 15, 1997
GLENFED BROKERAGE SERVICES
April 7, 1995 - June 20, 1995
FIMCO SECURITIES GROUP, INC.
June 10, 1994 - February 2, 1995
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
March 21, 1991 - June 7, 1994
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
November 19, 1989 - June 11, 1991
OSAIC WEALTH, INC.
August 22, 1989 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
SCHOFF & BAXTER, INC.
CRD#: 3290 / SEC#: , 8-16177
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Civil Event | 1 |
Red Flags
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