Keith K. Schultz
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.
Keith Koff Schultz was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1998. Keith had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2016 - November 15, 2018
BLUEFIN CAPITAL MANAGEMENT, LLC
November 18, 2008 - February 26, 2016
GUGGENHEIM SECURITIES, LLC
October 27, 2000 - June 6, 2008
LEHMAN BROTHERS INC.
December 2, 1998 - October 10, 2000
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BLUEFIN CAPITAL MANAGEMENT, LLC
CRD#: 113892 / SEC#: , 8-53382
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 18 |
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.
