Cari A. Schulz
Professional summary
Cari Ann Schulz, who also goes by Cari Ann Duckett, is a registered financial advisor currently at LASALLE ST. INVESTMENT ADVISORS, L.L.C. located in Litchfield Park, Arizona and LASALLE ST SECURITIES, L.L.C. located in Litchfield Park, Arizona.
Cari is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Cari has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Cari Ann Schulz's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 27, 2023 - Present
LASALLE ST. INVESTMENT ADVISORS, L.L.C.
January 27, 2023 - Present
LASALLE ST SECURITIES, L.L.C.
October 13, 2014 - February 7, 2023
UBS FINANCIAL SERVICES INC.
October 13, 2014 - February 7, 2023
UBS FINANCIAL SERVICES INC.
June 1, 2009 - October 20, 2014
MORGAN STANLEY
June 1, 2009 - October 20, 2014
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
May 27, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
May 27, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
September 18, 2002 - June 3, 2005
CHARLES SCHWAB & CO., INC.
September 18, 2002 - June 3, 2005
CHARLES SCHWAB & CO., INC.
December 3, 1999 - September 23, 2002
STRATEGIC ADVISERS LLC
September 3, 1999 - September 6, 2002
FIDELITY BROKERAGE SERVICES LLC
November 20, 1995 - September 1, 1999
CHARLES SCHWAB & CO., INC.
February 3, 1993 - August 14, 1995
FIRST UNION BROKERAGE SERVICES, INC.
July 16, 1992 - December 18, 1992
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
April 3, 1992 - July 27, 1992
J. W. GANT & ASSOCIATES, INC.
Primary Firm SEC Registration
LASALLE ST. INVESTMENT ADVISORS, L.L.C.
CRD#: 109701 / SEC#: 801-33422
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/27/2023)
(2/10/2023)
(3/4/2025)
(1/27/2023)
(1/27/2023)
(2/26/2023)
(1/27/2023)
(4/27/2023)
(1/27/2023)
(2/13/2023)
(1/27/2023)
(1/27/2023)
(1/27/2023)
Exams
Series 8
Date: 11/20/1996
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
LASALLE ST. INVESTMENT ADVISORS, L.L.C.
CRD#: 109701 / SEC#: 801-33422
Contact information
SEC notice filing (46 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,941 |
| AUM (Assets Under Management) | $ 4,346,509,887 |
Red Flags
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