Douglas Michael Schultz
Professional Summary
Douglas Michael Schultz is a registered financial advisor currently at SMITH, MOORE & CO. located in Effingham, Illinois. Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Douglas has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
J. W. COLE ADVISORS, INC.
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
INDEPENDENT FINANCIAL GROUP, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
J. W. COLE ADVISORS, INC.
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
INDEPENDENT FINANCIAL GROUP, LLC
Contact Information
xxxxx@xxxx.xxx
Similar Advisors
J. W. COLE ADVISORS, INC.
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
INDEPENDENT FINANCIAL GROUP, LLC
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.
Similar Advisors
J. W. COLE ADVISORS, INC.
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
INDEPENDENT FINANCIAL GROUP, LLC
Years of Experience
30 years in the financial services industry
Current & Past Employments
Similar Advisors
J. W. COLE ADVISORS, INC.
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
INDEPENDENT FINANCIAL GROUP, LLC
Current Firm
SMITH MOORE & CO. | THE SEVENS ADVISORY GROUP | SMITH, MOORE & CO.
Contact Information
Main Address
7777 Bonhomme Ave., Suite 2400 Suite 2400, Clayton, MO 63105Mailing Address
7777 Bonhomme Ave., Suite 2400, Clayton, MO 63105Phone Number
(314) 727-5225Established
Missouri since 12/23/1981Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
65SEC notice filing (36 States and Territories)
Registered to provide investment advisory services in 36 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 36 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DEUTSCH, STEWART JAMES JR | PRESIDENT, CHIEF EXECTIVE OFFICER, DIRECTOR | 2537447 |
| SCHULTE, TIMOTHY EUGENE | CHAIRMAN OF THE BOARD, DIRECTOR | 1869986 |
| RHYNER, RANDALL PAUL | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2443274 |
| SCHMIDT, KENT CHARLES | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2153325 |
| BRAGG, MATTHEW EDWARD | EXECUTIVE VICE PRESIDENT, SECRETARY, DIRECTOR | 2279799 |
| BRODY, AMY LYNN | CHIEF FINANCIAL OFFICER, FINOP | 6486826 |
| KRAFT, BARBARA ANN | CHIEF OPERATING OFFICER | 1225082 |
| MORAN, DANIEL PATRICK | CHIEF TECHNOLOGY OFFICER | 2685632 |
| PERRYMAN, JARET DALIN | CHIEF COMPLIANCE OFFICER | 3034594 |
Regulatory Assets Under Management
Total Number of Accounts
5,865AUM (Assets Under Management)
$2,371,739,897Disclosures
Regulatory Event
7Arbitration
2Similar Advisors
J. W. COLE ADVISORS, INC.
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
INDEPENDENT FINANCIAL GROUP, LLC
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.
Similar Advisors
J. W. COLE ADVISORS, INC.
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
INDEPENDENT FINANCIAL GROUP, LLC
Primary Firm SEC Registration
SMITH MOORE & CO. | THE SEVENS ADVISORY GROUP | SMITH, MOORE & CO.
State Registrations and Notice Filings
(6/14/2016)
(7/31/2009)
(9/22/2014)
(9/8/2025)
(7/31/2009)
(6/24/2021)
(7/31/2009)
(7/31/2009)
(7/31/2009)
(6/9/2021)
(6/18/2012)
(4/23/2024)
(7/31/2009)
(7/31/2009)
(7/27/2021)
(1/8/2024)
(1/30/2020)
(11/21/2019)
(9/13/2019)
(6/24/2011)
(3/30/2026)
(2/24/2025)
(8/26/2021)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
J. W. COLE ADVISORS, INC.
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
INDEPENDENT FINANCIAL GROUP, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Michael Schultz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Douglas Michael Schultz's CRS (Customer Relationship Summary).
Similar Advisors
J. W. COLE ADVISORS, INC.
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
INDEPENDENT FINANCIAL GROUP, LLC
