AS
Austin D. Schutz
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CRD#: 2921701
AS
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.
Austin Dulaney Schutz, who also goes by Austin Dulaney Schultz, Austin D Schutz, was a registered financial professional .
Austin is a previously registered financial professional and started their career in finance in 2000. Austin had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Austin Dulaney Schultz | Austin D Schutz
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.
CAMBRIDGE INSURANCE AGENCY POSITION: Agent NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 4 START DATE: 10/12/2023 ADDRESS: 1000 North Ashley Drive, Suite 1020, Tampa FL 33602, United States DESCRIPTION: Life insurance sales GUIDEPOINT POSITION: Provide investment industry related knowledge NATURE: Expert network company INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/17/2024 ADDRESS: 675 Avenue of the Americas, 2nd Floor, New York NY 10010, United States DESCRIPTION: Guidepoint will interview me on various topics of interest to investment firms/hedge funds/brokerages/asset management firms. Depending on their assessment of my knowledge on those topics they will then schedule another interview with a consultant who will have a 30 minute-1 hour conversation with me about my experience and knowledge of the topic at hand. They are not a broker dealer or asset management firm, they use securities industry professionals to garner firsthand industry knowledge. INSURANCE SALES POSITION: Independent insurance agent NATURE: Life Insurance sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 4 START DATE: 02/14/2025 ADDRESS: 100 Wicklowe Road, Lafayette LA 70503, United States DESCRIPTION: Life insurance sales
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
October 17, 2023 - November 11, 2025
LINCOLN INVESTMENT
RIA
CRD#: 519
Land O Lakes, FL
Past
October 17, 2023 - November 11, 2025
CAPITAL ANALYSTS
RIA
CRD#: 162200
Land O Lakes, FL
Past
October 17, 2023 - November 11, 2025
LINCOLN INVESTMENT
BD
CRD#: 519
Land O Lakes, FL
Past
November 16, 2021 - October 18, 2023
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
LAFAYETTE, LA
Past
October 15, 2021 - October 18, 2023
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
LAFAYETTE, LA
Past
February 27, 2018 - January 11, 2021
TD AMERITRADE, INC.
RIA
CRD#: 7870
Baton Rouge, LA
Past
February 26, 2018 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
BATON ROUGE, LA
Past
February 26, 2018 - January 11, 2021
TD AMERITRADE, INC.
BD
CRD#: 7870
Baton Rouge, LA
Past
August 4, 2016 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
RIA
CRD#: 169988
SAINT LOUIS, MO
Past
December 8, 2015 - February 26, 2018
SCOTTRADE, INC.
BD
CRD#: 8206
BATON ROUGE, LA
Past
August 19, 2010 - May 15, 2012
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
BATON ROUGE, LA
Past
August 18, 2010 - August 13, 2014
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
BATON ROUGE, LA
Past
June 4, 2009 - June 18, 2010
HANCOCK WHITNEY INVESTMENT SERVICES INC.
RIA
CRD#: 40637
VILLE PLATTE, LA
Past
April 6, 2009 - June 18, 2010
HANCOCK WHITNEY INVESTMENT SERVICES INC.
BD
CRD#: 40637
VILLE PLATTE, LA
Past
March 30, 2005 - November 3, 2008
EQUITABLE DISTRIBUTORS, LLC
BD
CRD#: 25900
CHARLOTTE, NC
Past
April 26, 2000 - November 18, 2003
E*TRADE SECURITIES LLC
BD
CRD#: 29106
JERSEY CITY, 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".
LINCOLN INVESTMENT
CMW | THE LINCOLN INVESTMENT COMPANIES | THE LEGEND GROUP | THE GABOR AGENCY | SHELGREN FINANCIAL GROUP | LINCOLN INVESTMENT PLANNING, LLC | LINCOLN INVESTMENT PLANNING, INC. | LINCOLN INVESTMENT PLANNING, INC | LINCOLN INVESTMENT | GABOR FINANCIAL SOLUTIONS | FINANCIAL DIRECTORS | CREATING AND MANAGING WEALTH
CRD#: 519 / SEC#: 801-14059, 8-14354
RIA
Registered Investment Advisory firm - SEC (9/11/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia 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
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
LINCOLN INVESTMENT
CMW | THE LINCOLN INVESTMENT COMPANIES | THE LEGEND GROUP | THE GABOR AGENCY | SHELGREN FINANCIAL GROUP | LINCOLN INVESTMENT PLANNING, LLC | LINCOLN INVESTMENT PLANNING, INC. | LINCOLN INVESTMENT PLANNING, INC | LINCOLN INVESTMENT | GABOR FINANCIAL SOLUTIONS | FINANCIAL DIRECTORS | CREATING AND MANAGING WEALTH
CRD#: 519 / SEC#: 801-14059, 8-14354
RIA
Registered Investment Advisory firm - SEC (9/11/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
601 Office Center Drive Suite 300, Fort Washington, PA 19034-3232
Mailing Address
601 Office Center Drive Suite 150-mailroom, Fort Washington, PA 19034
Phone number
(215) 887-8111
Established
Pennsylvania since 08/01/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,293
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | MEMBER/OWNER | |
| ALEXANDER, DANIEL SEAN | EXECUTIVE VICE-PRESIDENT, CHIEF BUSINESS DEVELOPMENT OFFICER | 4051341 |
| BUETI, ANTHONY CHARLES | SENIOR VICE-PRESIDENT, OPERATIONS & SERVICE/ PRINCIPAL OPERATIONS OFFICER | 5876104 |
| BURA, KAREN DOUGHERTY | VICE-PRESIDENT, CONTROLLER | 1666006 |
| ESTES, JASON CHRISTOPHER | EXECUTIVE VICE-PRESIDENT, CHIEF INFORMATION & TECHNOLOGY OFFICER | 7485210 |
| FLAX, STEVEN NEIL | EXECUTIVE VICE-PRESIDENT, CHIEF HUMAN RESOURCES OFFICER | 5655474 |
| FORST, EDWARD SAMUEL JR | ELECTED MANAGER/CEO | 708024 |
| LECKEY, KATHLEEN KINSLOW | PRESIDENT, CHIEF OPERATING OFFICER | 2447809 |
| MATTSON, MAUREEN ANN | EXECUTIVE VICE-PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | 5952728 |
| MCCARTHY, DIANE MULHERRIN | EXECUTIVE VICE-PRESIDENT/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/ELECTED MANAGER | 4923328 |
| MEHROTRA, SHASHI | SENIOR VICE-PRESIDENT, CHIEF INVESTMENT OFFICER | 2640875 |
| OBERLIES, SUSAN MARY | SENIOR VICE-PRESIDENT, CORPORATE COUNSEL/SECRETARY | 3009149 |
Regulatory assets under management
| Total Number of Accounts | 201,292 |
| AUM (Assets Under Management) | $ 18,904,482,714 |
Disclosures
| Regulatory Event | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
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.
