Wayne A. Schultz
Professional summary
Wayne Anthony Schultz was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Wayne is a previously registered financial advisor and started their career in finance in 1992. Prior to being barred, Wayne had worked at 7 firms, which includes RIDGEWAY CONGER ADVISORY SERVICES, ADIRONDACK TRADING GROUP LLC, INTL ADVISORY CONSULTANTS INC., STONEX SECURITIES INC., WORLD INVESTMENTS LLC, YOUR MONEY MATTERS BROKERAGE SERVICES INC., CADARET GRANT & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2013 - December 31, 2014
RIDGEWAY CONGER ADVISORY SERVICES
June 13, 2013 - February 5, 2016
ADIRONDACK TRADING GROUP LLC
January 31, 2011 - September 21, 2012
INTL ADVISORY CONSULTANTS INC.
January 27, 2011 - June 14, 2013
STONEX SECURITIES INC.
October 27, 2008 - December 31, 2010
WORLD INVESTMENTS, LLC
September 23, 2008 - December 31, 2010
WORLD INVESTMENTS, LLC
July 30, 2002 - February 7, 2007
YOUR MONEY MATTERS BROKERAGE SERVICES, INC.
August 3, 1992 - January 7, 2008
YOUR MONEY MATTERS BROKERAGE SERVICES, INC.
April 22, 1992 - September 16, 1992
CADARET, GRANT & CO., INC.
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
RIDGEWAY CONGER ADVISORY SERVICES
CRD#: 139372 / SEC#: 801-66272
Contact information
Documents
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.
