CS
Carol J. Schumacher
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CRD#: 4355341
CS
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.
Carol J. Schumacher, who also goes by Carol Jean Pranke, Carol Jean Scherb, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 2001. Carol had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Carol Jean Pranke | Carol Jean Scherb
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.
1. 02/14/2018 - No Business Name - Not Investment Related - 1038-1040 S Ninth St WI, Brown County - Real Estate Rental - Owner - 15 Hours Per Month/4 Hours During Securities Trading. 2. 02/14/2018 - SCHUMACHER FAMILY LLC - Not Investment Related - Other - For-Profit Business - LIMITED MEMBER OF FAMILY LIMITED PARTNERSHIP INVOLVED WITH REAL ESTATE OWNERSHIP. 3. 02/14/2018 - No Business Name - Not Investment Related - 2790-2792 Taurus Rd WI, Brown County - Real Estate Rental - Owner - 15 Hours Per Month/4 Hours During Securities Trading. 4. 02/14/2018 - No Business Name - Not Investment Related - 2086-2088 River Point Ct WI 54115, Brown County - Real Estate Rental - Owner - 15 Hours Per Month/4 Hours During Securities Trading. 5. 02/14/2018 - No Business Name - Not Investment Related - 1287-1289 N Crown Ct WI, Brown County - Real Estate Rental - Owner - 15 Hours Per Month/4 Hours During Securities Trading. 6. 02/14/2018 - No Business Name - Not Investment Related - 2960-2962 Manitowoc Rd WI, Brown County - Real Estate Rental - Owner - 15 Hours Per Month/4 Hours During Securities Trading. 7. 02/14/2018 - New Wall Street LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 8. 02/14/2018 - No Business Name - Not Investment Related - 1287-1289 N Crown Ct Suamico, WI 54173, Brown County - Real Estate Rental - Owner - 15 Hours Per Month/4 Hours During Securities Trading. 10. 02/14/2018 - No Business Name - Not Investment Related - 264-266 Tony Lane Green Bay, WI - Real Estate Rental - Owner - 15 Hours Per Month/4 Hours During Securities Trading. 11. 10/22/2021 - BRICE MORTGAGE - Investment Related - 3257 Main Street Green Bay WI 54311 - Mortgage/Real Estate Services - Mortgage Loan Originator - Started 10/24/2013 - 80 Hours Per Month/20 Hours During Securities Trading. KESTRA ADVISORY SERVICES, LLC POSITION: Investment Advisor NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 11/29/2021 ADDRESS: 5707 Southwest Pkwy, Bldg. 2 Suite 400, Austin TX 78735, United States DESCRIPTION: This is to set up my IAR registration with Kestra NEW WALL STREET, LLC POSITION: Financial Advisor NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 11/29/2021 ADDRESS: 2050 Riverside Dr., Suite 303, Green Bay WI 54301, United States DESCRIPTION: I meet with my clients and provide financial advice to them. CAROL SCHUMACHER SOLE PROP POSITION: owner NATURE: Real Estate INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 10 START DATE: 11/29/2021 ADDRESS: 2074 River Point Ct., De Pere WI 54115, United States DESCRIPTION: I own 7 residential properties that I lease out to the public. I receive rental income from them on a monthly basis.
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
November 29, 2021 - December 8, 2023
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
Green Bay, WI
Past
November 29, 2021 - December 8, 2023
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
Green Bay, WI
Past
February 14, 2018 - December 6, 2021
LPL FINANCIAL LLC
RIA
CRD#: 6413
GREEN BAY, WI
Past
February 14, 2018 - December 6, 2021
LPL FINANCIAL LLC
BD
CRD#: 6413
GREEN BAY, WI
Past
January 2, 2013 - February 14, 2018
SII INVESTMENTS, INC.
RIA
CRD#: 2225
GREEN BAY, WI
Past
January 2, 2013 - February 14, 2018
SII INVESTMENTS, INC.
BD
CRD#: 2225
GREEN BAY, WI
Past
September 23, 2004 - December 31, 2012
KCD FINANCIAL, INC.
RIA
CRD#: 127473
DEPERE, WI
Past
September 23, 2004 - December 31, 2012
KCD FINANCIAL, INC.
BD
CRD#: 127473
DEPERE, WI
Past
April 18, 2001 - August 26, 2004
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)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
General Industry/Product Exam
General Industry/Product Exam
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
