Rolf F. 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.
Rolf Ferdinand Schulz, who also goes by Rolf F Schulz, Rolf Ferdinard Schulz, was a registered financial professional .
Rolf is a previously registered financial professional and started their career in finance in 2007. Rolf had worked at 7 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2018 - October 3, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
February 1, 2017 - July 13, 2018
STRATEGIC ADVISERS LLC
September 21, 2015 - September 30, 2022
FIDELITY BROKERAGE SERVICES LLC
August 20, 2013 - August 24, 2015
WADDELL & REED
August 16, 2013 - August 24, 2015
WADDELL & REED
June 13, 2011 - August 19, 2013
WELLS FARGO CLEARING SERVICES, LLC
June 13, 2011 - August 19, 2013
WELLS FARGO CLEARING SERVICES, LLC
August 26, 2008 - June 15, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 20, 2008 - June 15, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 9, 2007 - July 10, 2008
MORGAN STANLEY & CO. LLC
August 31, 2007 - July 10, 2008
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
