AS
Adrian O. Schultes
RAYMOND JAMES INVESTMENT MANAGEMENT
New York, NY 10019
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CRD#: 4952904
AS
Professional summary
Adrian Oliver Schultes is a registered financial advisor currently at RAYMOND JAMES INVESTMENT MANAGEMENT located in New York, New York and CARILLON FUND DISTRIBUTORS, INC. located in St. Petersburg, Florida.
Adrian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Adrian has worked at 7 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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)Name of Business: Candlewood Isle Group, Inc. Address: 35 Lake Drive North, New Fairfield, CT, 06812, United States Activity Type: Business Owner Position/Title: Officer - Treasurer Investment Related: No Start Date: 07/15/2019 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: My wife has become a trustee to a foundation, a position outside her normal job. We are going to set up a C Corp to manage the expenses involved with this new role. I plan on managing the C Corp but will not be taking any compensation.
CRS (Client Relationship Summary) - RIA
Click below to view Adrian Oliver Schultes'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®
NoneExperience
Current
June 26, 2018 - Present
RAYMOND JAMES INVESTMENT MANAGEMENT
Office #1: 1740 Broadway 15th Floor, New York, NY 10019RIA
CRD#: 174904
New York, NY
Current
November 17, 2017 - Present
CARILLON FUND DISTRIBUTORS, INC.
Office #1: 880 Carillon Parkway, St. Petersburg, FL 33716BD
CRD#: 139749
St. Petersburg, FL
Past
March 31, 2014 - November 21, 2017
SCOUT INVESTMENTS, INC.
RIA
CRD#: 111787
NEW YORK, NY
Past
May 13, 2013 - November 21, 2017
DISTRIBUTION SERVICES, LLC
BD
CRD#: 25938
PORTLAND, ME
Past
July 11, 2011 - August 15, 2012
COWEN AND COMPANY
BD
CRD#: 7616
NEW YORK, NY
Past
February 14, 2011 - May 31, 2011
PIMCO INVESTMENTS LLC
BD
CRD#: 154957
NEW YORK, NY
Past
May 9, 2005 - February 14, 2011
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
BD
CRD#: 25567
NEW YORK, NY
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".
RJ
RAYMOND JAMES INVESTMENT MANAGEMENT
CARILLON TOWER ADVISERS, INC. | RAYMOND JAMES INVESTMENT MANAGEMENT
CRD#: 174904 / SEC#: 801-100356
RIA
Registered Investment Advisory firm - (7/6/2015 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/17/2017)
RR
Alaska(10/20/2023)
RR
Arizona(10/20/2023)
RR
Arkansas(10/20/2023)
RR
California(10/20/2023)
RR
Colorado(10/20/2023)
RR
Connecticut(11/17/2017)
RR
Delaware(11/17/2017)
RR
District of Columbia(11/17/2017)
RR
Florida(11/17/2017)
IAR
Florida(6/26/2018)
RR
Georgia(11/17/2017)
RR
Hawaii(10/20/2023)
RR
Idaho(10/20/2023)
RR
Illinois(11/17/2017)
RR
Indiana(11/17/2017)
RR
Iowa(10/20/2023)
RR
Kansas(10/20/2023)
RR
Kentucky(11/17/2017)
RR
Louisiana(11/17/2017)
RR
Maine(11/17/2017)
RR
Maryland(11/17/2017)
RR
Massachusetts(11/17/2017)
RR
Michigan(11/17/2017)
RR
Minnesota(10/20/2023)
RR
Mississippi(11/17/2017)
RR
Missouri(10/20/2023)
RR
Montana(10/20/2023)
RR
Nebraska(10/20/2023)
RR
Nevada(10/20/2023)
RR
New Hampshire(11/17/2017)
RR
New Jersey(11/17/2017)
RR
New Mexico(10/20/2023)
RR
New York(11/17/2017)
RR
North Carolina(11/17/2017)
RR
North Dakota(10/20/2023)
RR
Ohio(11/17/2017)
RR
Oklahoma(10/20/2023)
RR
Oregon(10/20/2023)
RR
Pennsylvania(11/17/2017)
RR
Puerto Rico(11/17/2017)
RR
Rhode Island(11/17/2017)
RR
South Carolina(11/17/2017)
RR
South Dakota(10/20/2023)
RR
Tennessee(11/17/2017)
RR
Texas(10/20/2023)
RR
Utah(10/20/2023)
RR
Virgin Islands(11/17/2017)
RR
Virginia(11/17/2017)
RR
Washington(10/20/2023)
RR
West Virginia(11/17/2017)
RR
Wisconsin(11/17/2017)
RR
Wyoming(10/20/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RJ
RAYMOND JAMES INVESTMENT MANAGEMENT
CARILLON TOWER ADVISERS, INC. | RAYMOND JAMES INVESTMENT MANAGEMENT
CRD#: 174904 / SEC#: 801-100356
RIA
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Contact information
Main Address
780 Carillon Parkway, St Petersburg, FL 33716
Mailing Address
880 Carillon Parkway, St Petersburg, FL 33716
Phone number
(800) 521-1195
Established
Firm type
Fiscal year end
# of Employees
173
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5 |
| AUM (Assets Under Management) | $ 16,378,977,378 |
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.
