Joseph M. Schultz

HBKS WEALTH ADVISORS

HOLMDEL, NJ 07733

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CRD#: 2082137

Professional summary

Joseph Michael Schultz, who also goes by Joseph M Schultz, Joseph Michael Schultz Jr, is a registered financial advisor currently at HBKS WEALTH ADVISORS located in Holmdel, New Jersey.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Joseph has worked at 8 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph M Schultz | Joseph Michael Schultz Jr

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) - RIA

Click below to view Joseph Michael 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

August 19, 2025 - Present

HBKS WEALTH ADVISORS

Office #1: 101 Crawford Corner Rd Ste 2216, Holmdel, NJ 07733

RIA

CRD#: 112139

HOLMDEL, NJ

Past

March 13, 2014 - February 18, 2025

LADENBURG THALMANN & CO. INC.

CRD#: 505

New York, NY

Past

September 4, 2012 - November 18, 2013

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

January 5, 2009 - January 5, 2011

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

February 29, 2008 - January 15, 2009

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

October 29, 2004 - February 29, 2008

RBC CAPITAL MARKETS CORPORATION

CRD#: 6579

NEW YORK, NY

Past

July 9, 2004 - November 2, 2004

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

NEW YORK, NY

Past

July 2, 2004 - November 2, 2004

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

January 3, 2003 - July 8, 2004

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

NEW YORK, NY

Past

March 19, 1999 - July 8, 2004

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

July 14, 1995 - March 23, 1999

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

September 29, 1992 - August 3, 1995

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HBKS WEALTH ADVISORS

CRD#: 112139 / SEC#: 801-60424

RIA

Registered Investment Advisory firm - (7/19/2001 Approved)

Ohio

Registered Investment Advisory firm - (11/28/2000 Terminated)

Pennsylvania

Registered Investment Advisory firm - (10/29/2001 Terminated)

Wyoming

Registered Investment Advisory firm - (11/9/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New Jersey
(8/19/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/26/2024

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/2/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 10/4/2007

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 9/28/1992

General Securities Representative Examination

Current Firm

HBKS WEALTH ADVISORS

CRD#: 112139 / SEC#: 801-60424

RIA

Registered Investment Advisory firm - (7/19/2001 Approved)

Ohio

Registered Investment Advisory firm - (11/28/2000 Terminated)

Pennsylvania

Registered Investment Advisory firm - (10/29/2001 Terminated)

Wyoming

Registered Investment Advisory firm - (11/9/2017 Terminated)

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Contact information

Main Address

2725 Colonial Ave, Erie, PA 16506

Mailing Address

Phone number

(814) 836-5776

Established

Firm type

Fiscal year end

# of Employees

109

SEC notice filing (30 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HBKS WEALTH ADVISORS ADV 2A 11-12-25 (11/12/2025)

Regulatory assets under management

Total Number of Accounts	21,190
AUM (Assets Under Management)	$ 7,661,939,874

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/25/2024	Cover Page	Report
07/28/2023	Cover Page	Report

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.

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Joseph M. Schultz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Michael Schultz's CRS (Customer Relationship Summary).

Certified licenses

Experience

LADENBURG THALMANN & CO. INC.

BARCLAYS CAPITAL INC.

BARCLAYS CAPITAL INC.

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS CORPORATION

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

PRUDENTIAL EQUITY GROUP, LLC

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

HBKS WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 9/26/2024

Series 63

Date: 10/2/1992

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 10/4/2007

Series 7

Date: 9/28/1992

Current Firm

HBKS WEALTH ADVISORS

Contact information

SEC notice filing (30 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

HBKS WEALTH ADVISORS

TRUST BUT VERIFY

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