Richard W. Schultz

SCHULTZ AND ASSOCIATES

ASHLAND, OR 97520

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CRD#: 4721432

Professional summary

Richard W Schultz, who also goes by Richard William Schultz, is a registered financial advisor currently at SCHULTZ AND ASSOCIATES INC. located in Ashland, Oregon.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Richard has worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard William Schultz

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.

VINEYARD OWNER, KITCHEN CREEK VINEYARDS, HOURS SPENT ON THIS BUSINESS ARE OUTSIDE OF NORMAL BUSINESS HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard W Schultz's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 9, 2003 - Present

SCHULTZ AND ASSOCIATES INC.

Office #1: 125 N 2nd St, Ashland, OR 97520

RIA

CRD#: 128761

ASHLAND, OR

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Oregon
(12/9/2003)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

Current Firm

SCHULTZ AND ASSOCIATES INC.

CRD#: 128761 / SEC#: 801-62451

RIA

Registered Investment Advisory firm - (6/11/2012 Terminated)

California

Registered Investment Advisory firm - (3/25/2019 Revoked)

Oregon

Registered Investment Advisory firm - (6/6/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

125 N 2nd St., Ashland, OR 97520

Mailing Address

Post Office Box 863, Ashland, OR 97520

Phone number

(541) 482-5170

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	57
AUM (Assets Under Management)	$ 11,727,522

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.

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Richard W. Schultz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard W Schultz's CRS (Customer Relationship Summary).

Certified licenses

Experience

SCHULTZ AND ASSOCIATES INC.

State Registrations and Notice Filings

Exams

Current Firm

SCHULTZ AND ASSOCIATES INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SCHULTZ AND ASSOCIATES INC.

TRUST BUT VERIFY

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