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Anton Villars Schutz

CRD# 2006271·Registered 1994 - 2016
Previously Registered: Being a previously registered professional could mean that Anton 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.

Professional Summary

Anton Villars Schutz, who also goes by Anton Schutz, was a registered financial advisor. Anton was a previously registered financial professional and started their career in finance 1994 - 2016. Anton had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 3, Series 7, Series 52 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Anton Schutz

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

37 years in the financial services industry

Current & Past Employments

BURNHAM SECURITIES INC.·CRD# 22549
BD
New York, NY
July 7, 2009 - February 22, 2016
MOORS & CABOT, INC.·CRD# 594
BD
Rochester, NY
July 23, 2002 - July 12, 2007
RBC CAPITAL MARKETS, LLC·CRD# 31194
BD
New York, NY
March 9, 2002 - August 1, 2002
TUCKER ANTHONY INCORPORATED·CRD# 837
BD
Boston, MA
July 6, 2000 - March 9, 2002
BURNHAM SECURITIES INC.·CRD# 22549
BD
New York, NY
April 30, 1997 - June 30, 2000
GRAYSON FINANCIAL LLC·CRD# 11764
BD
Red Bank, NJ
June 5, 1996 - May 30, 1997
J.P. MORGAN ALTERNATIVE ASSET MANAGEMENT, INC.·CRD# 20989
BD
New York, NY
January 20, 1994 - August 21, 1996

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Current Firm

BS
BURNHAM SECURITIES INC.

ABNER ASSET MANAGEMENT INC. | BURNHAM SECURITIES INC. | BURNHAM SECURITIES INC

CRD#: 22549 / SEC#: 801-65646, 8-39788
BD
Terminated by SEC on 07/09/2016

Contact Information

Established

New York since 11/18/1987

Firm Type

Corporation

Fiscal Year End

December

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2 BROCHURE (3/20/2015)

Direct owners and executive officers

NamePositionCRD#
BURNHAM FINANCIAL GROUPHOLDING COMPANY—
BURNHAM, JON MICHAELCHAIRMAN, CHIEF EXECUTIVE OFFICER, DIRECTOR36159
SHEEHAN, WILLIAM NOLANFINOP730184
SHEEHAN, WILLIAM NOLANROSFP, FINOP, CHIEF COMPLIANCE OFFICER, COO730184

Disclosures

Regulatory Event

6

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jun 1996About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 1994About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Feb 2016About the SIE exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Apr 2000

Series 3 — National Commodity Futures Examination

Passed Mar 1994About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Jan 1994About the Series 7 exam

Series 52 — Municipal Securities Representative Examination

Passed Oct 1989About the Series 52 exam

Series 24 — General Securities Principal Examination

Passed Aug 1994About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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