Walter E. Schulz
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.
Walter Eugene Schulz was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1973. Walter had worked at 9 firms and has passed the Series 65, Series 63, PC, Series 5, Series 000, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2006 - March 30, 2012
DOMINICK & DICKERMAN LLC
October 8, 2003 - March 30, 2012
DOMINICK & DICKERMAN LLC
January 17, 2003 - October 17, 2003
CREDIT SUISSE SECURITIES (USA) LLC
June 14, 2000 - January 17, 2003
PERSHING LLC
November 18, 1996 - July 6, 2000
JANNEY MONTGOMERY SCOTT LLC
June 6, 1995 - October 26, 1995
INTESA SANPAOLO IMI SECURITIES CORP.
October 8, 1992 - July 24, 1995
CITICORP SECURITIES, INC.
April 1, 1987 - September 29, 1992
J.P. MORGAN SECURITIES LLC
May 7, 1981 - March 13, 1987
CITIGROUP GLOBAL MARKETS INC.
January 7, 1981 - May 27, 1981
DREXEL BURNHAM LAMBERT INCORPORATED
January 4, 1973 - December 24, 1980
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 3/31/1997
AMEX Put and Call ExamSeries 5
Date: 10/16/1981
Interest Rate Options ExaminationSeries 000
Date: 12/28/1972
General Securities Principal ExaminationSeries 1
Date: 12/28/1972
Registered Representative ExaminationCurrent Firm
DOMINICK & DICKERMAN LLC
CRD#: 7344 / SEC#: 801-63247, 8-21076
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DM TRUST | OWNER | |
| DERBY WEST LLC | TRUSTEE OF DM TRUST | |
| HLADEK, ROBERT MICHAEL | CEO | |
| HLADEK, ROBERT MICHAEL | SR. VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2199923 |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 11 |
| Bond | 1 |
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.
