RS
Richard E. Schultz
Some features on this profile are disabled
CRD#: 2600448
RS
Professional summary
Being a previously registered professional could mean that this person 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.
Richard Edward Schultz JR, who also goes by Rich Schultz Jr, Richard E Schultz Jr, Richard E Jr Schultz, Richard E Schultz, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1995. Richard had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Rich Schultz Jr | Richard E Schultz Jr | Richard E Jr Schultz | Richard E Schultz
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.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
May 1, 2020 - September 30, 2020
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
CLEVELAND, OH
Past
January 4, 2018 - February 23, 2018
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
BEREA, OH
Past
January 2, 2018 - February 23, 2018
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
BEREA, OH
Past
February 23, 2017 - December 31, 2017
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
BEREA, OH
Past
February 8, 2017 - December 31, 2017
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
BEREA, OH
Past
July 15, 2016 - February 23, 2017
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
Amherst, OH
Past
July 15, 2016 - February 23, 2017
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
LINCOLN, NE
Past
March 27, 2015 - May 9, 2016
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
CLEVELAND, OH
Past
March 27, 2015 - May 9, 2016
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
CLEVELAND, OH
Past
March 4, 2011 - March 2, 2015
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
TOLEDO, OH
Past
March 1, 2011 - March 2, 2015
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
TOLEDO, OH
Past
November 17, 2010 - February 18, 2011
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
LORAIN, OH
Past
November 16, 2010 - February 18, 2011
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
LORAIN, OH
Past
November 14, 2006 - September 3, 2010
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
AVON LAKE, OH
Past
December 1, 2001 - September 3, 2010
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
AVON LAKE, OH
Past
June 12, 2000 - December 1, 2001
FIRSTAR INVESTMENT SERVICES,INC.
BD
CRD#: 14536
MORRIS PLAINS, NJ
Past
October 9, 1998 - June 27, 2000
THE HUNTINGTON INVESTMENT COMPANY
BD
CRD#: 16986
COLUMBUS, OH
Past
October 30, 1997 - May 11, 1998
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
October 30, 1997 - May 11, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
July 17, 1995 - April 22, 1996
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
EQUITABLE ADVISORS, LLC
"BUILD IT" RETIREMENT | EXPECT FINANCIAL SERVICES | EXODUS WEALTH MANAGEMENT GROUP (EXODUS WMG) | EXECUTIVE BENEFITS FINANCIAL GROUP | EVOLVING WEALTH FINANCIAL | EVOLUTION ADVISORS | EVERGREEN WEALTH STRATEGIES, LLC | ESSENTIAL WEALTH STRATEGIES, LLC | ESHELMAN FINANCIAL | ESHELMAN & ASSOCIATES | EQUITY WEALTH SOLUTIONS GROUP | EQUITABLE FINANCIAL ADVISORS | EQUITABLE ADVISORS, LLC | EQUINOX FINANCIAL PARTNERS, LLC | EQUICO SECURITIES, INC. | EQ FINANCIAL CONSULTANTS, INC. | ENVISION STRATEGIC FINANCIAL, LLC | ENTERPRISE STRATEGIES GROUP | EMPOWERMENT WEALTH STRATEGIES | EMPIRE WEALTH SOLUTIONS LLC | EMERGY GROUP | ELEVATE FINANCIAL GROUP | EDUCATED WEALTH STRATEGIES | ECP DESIGN & SERVICE GROUP, LTD | EAGLEBRIDGE WEALTH MANAGEMENT | EAGLE POINT WEALTH STRATEGIES | DVM FINANCIAL STRATEGIES | DUNCAN WEALTH MANAGEMENT | DRISCOLL WEALTH MANAGEMENT LLC | DREAM RETIREMENT STRATEGIES, INC | DRAKE, DRAKE AND ASSOCIATES | DOWNS FISCHER FINANCIAL | DIVORCE FINANCIAL PARTNERS | DILIGENCE FINANCIAL GROUP | DIAPOULES, FEINSTEIN AND KAPLAN FINANCIAL GROUP | DERGALIS ASSOCIATES | DENOVO MEDICAL ASSOCIATES | DENOVO ADVISORY GROUP | DEAN J. ROSKO AND ASSOCIATES | DAYTON & SYDNEY WEALTH STRATEGIES GROUP, LLC | DAVID SCHMIDT PENSION, INSURANCE & FINANCIAL SERVICES | DANIEL M. HOLDT, INC. | DAILEY FINANCIAL GROUP | DABYN WEALTH STRATEGIES | D3 FINANCIAL SERVICES | CYPRESS FINANCIAL CONSULTANTS, LLC | CUBE FINANCIAL PARTNERS, LLC | CS PREMIER FINANCIAL | CROWNSTONE WEALTH PARTNERS | CRIST AND FREDETTE FINANCIAL | COWIE MCGRAW & LESNEY FINANCIAL GROUP | COVENANT CAPITAL GROUP | COVENANT ADVISORY GROUP | COVE FINANCIAL, LLC | COUNTRY VALUES FINANCIAL | COSENTINO FINANCIAL GROUP, LTD | CORPORATE PLANNING ASSOCIATES, LLC | CORNERSTONE WEALTH MANAGEMENT | CORNERSTONE PLANNING GROUP, LLC | CORNERSTONE FINANCIAL, LLP | CORNERSTONE FINANCIAL SERVICES | COMPREHENSIVE FINANCIAL STRATEGIES | COMMUNITY FINANCIAL GROUP | COASTAL WEALTH MANAGEMENT AND INSURANCE SERVICES | CMG BENEFIT ADVISORS | CLERGY PLANNING GROUP | CLARK & ANDERSON FINANCIAL SERVICES, LLC | CJ CAPITAL INSURANCE AND FINANCIAL SERVICES | CITY BENEFITS GROUP | CHRISTE FINANCIAL SERVICES | CENTURY FINANCIAL STRATEGIES | CEDAR AND SAGE FINANCIAL | CBG WEALTH MANAGEMENT | CASCADE WEALTH STRATEGIES, LLC | CAPITALWISE WEALTH MANAGEMENT, LLC | CAPITAL STRATEGIES | CAPITAL MANAGEMENT GROUP OF NEW YORK | CAPITAL FINANCIAL GROUP | CANOPY FINANCIAL GROUP | CAMPUS WEALTH MANAGEMENT | BRIGHT HARBOR WEALTH MANAGEMENT LLC | BREMS WEALTH MANAGEMENT | BOWMAN WEALTH DEFENSE SERVICES | BOSCH FINANCIAL, INC. | BOLLINGER ADVISORS | BODDY & ASSOCIATES | BMK WEALTH MANAGEMENT LLC | BLUEWATER WEALTH STRATEGIES | BLUEPRINT FINANCIAL SOLUTIONS | BLUE RIDGE FINANCIAL PARTNERS | BLUE RIBBON WEALTH ADVISORS, INC | BLUE COVE CAPITAL | BLU-STAR STRATEGIC ADVISORS | BL FINANCIAL GROUP | BEST FINANCIAL SERVICES | BERNIER FINANCIAL SERVICES | BELUS WEALTH, LLC | BEEBE FINANCIAL SOLTIONS | BEACON WEALTH PARTNERS | BAY AREA PRIVATE WEALTH GROUP | BARRETT FINANCIAL SOLUTIONS | BALA FINANCIAL STRATEGIES | BABCOCK WEALTH MANAGEMENT | B&P RETIREMENT SOLUTIONS | AYOUCH AND MANTLE FINANCIAL GROUP | AXA ADVISORS, LLC | AXA ADVISORS, LLC | AVON FINANCIAL GROUP | ATTORNEYS CAPITAL MANAGEMENT | ATLAS FINANCIAL GROUP | ATLAS ADVISOR GROUP | AT ASPEN LLC | ASTON CAPITAL GROUP | ASPIRE FINANCIAL GROUP | ASCENT FINANCIAL GROUP | ASCENDANCY FINANCIAL GROUP | ASCEND PLANNING & CONSULTING, LLC | ARDEN FINANCIAL GROUP | ARC WEALTH MANAGEMENT | ARB WEALTH MANAGEMENT | APOLLO GROUP | ANTHEM WEALTH, LLC | ANGLE-LAU WEALTH MANAGEMENT | ANDERSON FINANCIAL | ANASTASIA & ASSOCIATES WEALTH MANAGEMENT SOLUTIONS | ALPHA PHOENIX | ALPHA OMEGA FINANCIAL, LLC | ALLISON FINANCIAL GROUP, INC. | ALLAM FINANCIAL SERVICES GROUP, INC. | AETERNUM CAPITAL | ADVANCED WEALTH STRATEGIES | ADVANCED BENEFIT DESIGN GROUP, INC. | ACHENBACH FINANCIAL | A.P. LUBRANO & COMPANY, INC. | A VERRELLI AND ASSOCIATES | 75 STRONG FINANCIAL GROUP | 4U FINANCIAL | 422 FINANCIAL | 360 PLANNING PARTNERS, LLC | 360 FINANCIAL MANAGEMENT GROUP | 345 WEALTH MANAGEMENT LLC | 1804 FINANCIAL GROUP | #LADYLIFEPLAN#...
CRD#: 6627 / SEC#: 801-14065, 8-17883
RIA
Registered Investment Advisory firm - SEC (9/22/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
EQUITABLE ADVISORS, LLC
"BUILD IT" RETIREMENT | EXPECT FINANCIAL SERVICES | EXODUS WEALTH MANAGEMENT GROUP (EXODUS WMG) | EXECUTIVE BENEFITS FINANCIAL GROUP | EVOLVING WEALTH FINANCIAL | EVOLUTION ADVISORS | EVERGREEN WEALTH STRATEGIES, LLC | ESSENTIAL WEALTH STRATEGIES, LLC | ESHELMAN FINANCIAL | ESHELMAN & ASSOCIATES | EQUITY WEALTH SOLUTIONS GROUP | EQUITABLE FINANCIAL ADVISORS | EQUITABLE ADVISORS, LLC | EQUINOX FINANCIAL PARTNERS, LLC | EQUICO SECURITIES, INC. | EQ FINANCIAL CONSULTANTS, INC. | ENVISION STRATEGIC FINANCIAL, LLC | ENTERPRISE STRATEGIES GROUP | EMPOWERMENT WEALTH STRATEGIES | EMPIRE WEALTH SOLUTIONS LLC | EMERGY GROUP | ELEVATE FINANCIAL GROUP | EDUCATED WEALTH STRATEGIES | ECP DESIGN & SERVICE GROUP, LTD | EAGLEBRIDGE WEALTH MANAGEMENT | EAGLE POINT WEALTH STRATEGIES | DVM FINANCIAL STRATEGIES | DUNCAN WEALTH MANAGEMENT | DRISCOLL WEALTH MANAGEMENT LLC | DREAM RETIREMENT STRATEGIES, INC | DRAKE, DRAKE AND ASSOCIATES | DOWNS FISCHER FINANCIAL | DIVORCE FINANCIAL PARTNERS | DILIGENCE FINANCIAL GROUP | DIAPOULES, FEINSTEIN AND KAPLAN FINANCIAL GROUP | DERGALIS ASSOCIATES | DENOVO MEDICAL ASSOCIATES | DENOVO ADVISORY GROUP | DEAN J. ROSKO AND ASSOCIATES | DAYTON & SYDNEY WEALTH STRATEGIES GROUP, LLC | DAVID SCHMIDT PENSION, INSURANCE & FINANCIAL SERVICES | DANIEL M. HOLDT, INC. | DAILEY FINANCIAL GROUP | DABYN WEALTH STRATEGIES | D3 FINANCIAL SERVICES | CYPRESS FINANCIAL CONSULTANTS, LLC | CUBE FINANCIAL PARTNERS, LLC | CS PREMIER FINANCIAL | CROWNSTONE WEALTH PARTNERS | CRIST AND FREDETTE FINANCIAL | COWIE MCGRAW & LESNEY FINANCIAL GROUP | COVENANT CAPITAL GROUP | COVENANT ADVISORY GROUP | COVE FINANCIAL, LLC | COUNTRY VALUES FINANCIAL | COSENTINO FINANCIAL GROUP, LTD | CORPORATE PLANNING ASSOCIATES, LLC | CORNERSTONE WEALTH MANAGEMENT | CORNERSTONE PLANNING GROUP, LLC | CORNERSTONE FINANCIAL, LLP | CORNERSTONE FINANCIAL SERVICES | COMPREHENSIVE FINANCIAL STRATEGIES | COMMUNITY FINANCIAL GROUP | COASTAL WEALTH MANAGEMENT AND INSURANCE SERVICES | CMG BENEFIT ADVISORS | CLERGY PLANNING GROUP | CLARK & ANDERSON FINANCIAL SERVICES, LLC | CJ CAPITAL INSURANCE AND FINANCIAL SERVICES | CITY BENEFITS GROUP | CHRISTE FINANCIAL SERVICES | CENTURY FINANCIAL STRATEGIES | CEDAR AND SAGE FINANCIAL | CBG WEALTH MANAGEMENT | CASCADE WEALTH STRATEGIES, LLC | CAPITALWISE WEALTH MANAGEMENT, LLC | CAPITAL STRATEGIES | CAPITAL MANAGEMENT GROUP OF NEW YORK | CAPITAL FINANCIAL GROUP | CANOPY FINANCIAL GROUP | CAMPUS WEALTH MANAGEMENT | BRIGHT HARBOR WEALTH MANAGEMENT LLC | BREMS WEALTH MANAGEMENT | BOWMAN WEALTH DEFENSE SERVICES | BOSCH FINANCIAL, INC. | BOLLINGER ADVISORS | BODDY & ASSOCIATES | BMK WEALTH MANAGEMENT LLC | BLUEWATER WEALTH STRATEGIES | BLUEPRINT FINANCIAL SOLUTIONS | BLUE RIDGE FINANCIAL PARTNERS | BLUE RIBBON WEALTH ADVISORS, INC | BLUE COVE CAPITAL | BLU-STAR STRATEGIC ADVISORS | BL FINANCIAL GROUP | BEST FINANCIAL SERVICES | BERNIER FINANCIAL SERVICES | BELUS WEALTH, LLC | BEEBE FINANCIAL SOLTIONS | BEACON WEALTH PARTNERS | BAY AREA PRIVATE WEALTH GROUP | BARRETT FINANCIAL SOLUTIONS | BALA FINANCIAL STRATEGIES | BABCOCK WEALTH MANAGEMENT | B&P RETIREMENT SOLUTIONS | AYOUCH AND MANTLE FINANCIAL GROUP | AXA ADVISORS, LLC | AXA ADVISORS, LLC | AVON FINANCIAL GROUP | ATTORNEYS CAPITAL MANAGEMENT | ATLAS FINANCIAL GROUP | ATLAS ADVISOR GROUP | AT ASPEN LLC | ASTON CAPITAL GROUP | ASPIRE FINANCIAL GROUP | ASCENT FINANCIAL GROUP | ASCENDANCY FINANCIAL GROUP | ASCEND PLANNING & CONSULTING, LLC | ARDEN FINANCIAL GROUP | ARC WEALTH MANAGEMENT | ARB WEALTH MANAGEMENT | APOLLO GROUP | ANTHEM WEALTH, LLC | ANGLE-LAU WEALTH MANAGEMENT | ANDERSON FINANCIAL | ANASTASIA & ASSOCIATES WEALTH MANAGEMENT SOLUTIONS | ALPHA PHOENIX | ALPHA OMEGA FINANCIAL, LLC | ALLISON FINANCIAL GROUP, INC. | ALLAM FINANCIAL SERVICES GROUP, INC. | AETERNUM CAPITAL | ADVANCED WEALTH STRATEGIES | ADVANCED BENEFIT DESIGN GROUP, INC. | ACHENBACH FINANCIAL | A.P. LUBRANO & COMPANY, INC. | A VERRELLI AND ASSOCIATES | 75 STRONG FINANCIAL GROUP | 4U FINANCIAL | 422 FINANCIAL | 360 PLANNING PARTNERS, LLC | 360 FINANCIAL MANAGEMENT GROUP | 345 WEALTH MANAGEMENT LLC | 1804 FINANCIAL GROUP | #LADYLIFEPLAN#...
CRD#: 6627 / SEC#: 801-14065, 8-17883
RIA
Registered Investment Advisory firm - SEC (9/22/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
1345 Avenue Of The Americas, New York, NY 10105
Mailing Address
1345 Avenue Of The Americas 3rd Floor, New York, NY 10105
Phone number
(212) 314-4600
Established
Delaware since 07/19/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
5,876
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EQUITABLE DISTRIBUTION HOLDING CORPORATION | MEMBER | |
| BONADONNA, MARYJEAN ELIZABETH | CHIEF RISK OFFICER | 3199562 |
| BOYLAN, PATRICIA AGNES | CHIEF COMPLIANCE OFFICER | 3231492 |
| BROWNING, RALPH EDWARD II | CHIEF PRIVACY OFFICER | 6914526 |
| CANNON, CHRISTIAN JAMES | VICE PRESIDENT AND GENERAL COUNSEL | |
| JONES, GINA MARIE | VICE PRESIDENT AND FINANCIAL CRIME OFFICER | |
| KARR, DAVID WHITCOMB | CHAIRMAN OF THE BOARD AND CHIEF EXECUTIVE OFFICER | 1852445 |
| LANE, NICHOLAS BURRITT | DIRECTOR | 4994948 |
| MASSA, FRANK ANGELO JR | PRESIDENT/DIRECTOR | 2241858 |
| MELLIN, JAMES PATRICK | CHIEF SALES OFFICER | 1859557 |
| SCAPPATOR, CANDACE LYNN | CONTROLLER/FINOP/PRINCIPAL FINANCIAL OFFICER | 4697607 |
| SMITH, JANE LYNN | ASSISTANT VICE PRESIDENT | 2158938 |
| TIAN, QI NING | DIRECTOR | 6166914 |
| ZHANG, YUN | DIRECTOR | 7600833 |
| ZIMMERER, TRACY | VICE PRESIDENT, PRINCIPAL OPERATIONS OFFICER | 4275481 |
Regulatory assets under management
| Total Number of Accounts | 89,151 |
| AUM (Assets Under Management) | $ 38,039,299,080 |
Disclosures
| Regulatory Event | 26 |
| Arbitration | 11 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/18/2024 | ||
| 01/16/2024 |
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.
