KS
Kimberly M. Schulwitz
SAGE, RUTTY & CO.
Rochester, NY 14623
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CRD#: 4999589
KS
Professional summary
Kimberly M Schulwitz, who also goes by Kim Schulwitz, Kimberly M Schulwitz, Kimberly Michelle Schulwitz, Kimberly Schulwitz, is a registered financial advisor currently at SAGE, RUTTY & CO., INC. located in Rochester, New York.
Kimberly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Kimberly has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kim Schulwitz | Kimberly M Schulwitz | Kimberly Michelle Schulwitz | Kimberly Schulwitz
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Kimberly M Schulwitz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kimberly M Schulwitz'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
September 21, 2021 - Present
SAGE, RUTTY & CO., INC.
Office #1: 100 Corporate Woods Suite 300, Rochester, NY 14623Office #2: 100 Corporate Woods Suite 300, Rochester, NY 14623Office #3: 100 Corporate Woods Suite 300, Rochester, NY 14623RIA
BD
CRD#: 3254
Rochester, NY
Current
September 21, 2021 - Present
SAGE, RUTTY & CO., INC.
Office #1: 100 Corporate Woods Suite 300, Rochester, NY 14623Office #2: 100 Corporate Woods Suite 300, Rochester, NY 14623Office #3: 100 Corporate Woods Suite 300, Rochester, NY 14623RIA
BD
CRD#: 3254
Rochester, NY
Past
October 3, 2016 - September 21, 2021
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ROCHESTER, NY
Past
September 7, 2016 - September 21, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ROCHESTER, NY
Past
July 26, 2005 - June 12, 2006
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, 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".
SAGE, RUTTY & CO., INC.
SAGE RUTTY TRUST | SAGE, RUTTY & CO., INC.
CRD#: 3254 / SEC#: 801-35917, 8-533
RIA
Registered Investment Advisory firm - SEC (1/26/1990 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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(9/21/2021)
RR
Arizona(9/21/2021)
RR
California(9/21/2021)
RR
Colorado(9/21/2021)
RR
Delaware(9/21/2021)
RR
District of Columbia(1/10/2025)
RR
Florida(9/21/2021)
IAR
Florida(9/22/2021)
RR
Georgia(9/21/2021)
RR
Louisiana(9/21/2021)
RR
Maine(1/10/2024)
RR
Maryland(1/10/2025)
RR
Massachusetts(9/21/2021)
RR
Michigan(1/10/2024)
RR
Minnesota(9/21/2021)
RR
Missouri(9/21/2021)
RR
New Mexico(9/21/2021)
RR
New York(9/21/2021)
IAR
New York(9/21/2021)
RR
North Carolina(9/21/2021)
RR
Ohio(1/10/2024)
RR
Pennsylvania(9/21/2021)
RR
Rhode Island(9/21/2021)
RR
South Carolina(9/21/2021)
RR
Tennessee(9/21/2021)
RR
Texas(9/21/2021)
RR
Utah(9/21/2021)
RR
Vermont(9/21/2021)
RR
Virginia(1/10/2024)
RR
West Virginia(1/25/2022)
RR
Wyoming(1/10/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SAGE, RUTTY & CO., INC.
SAGE RUTTY TRUST | SAGE, RUTTY & CO., INC.
CRD#: 3254 / SEC#: 801-35917, 8-533
RIA
Registered Investment Advisory firm - SEC (1/26/1990 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
100 Corporate Woods Suite 300, Rochester, NY 14623
Mailing Address
100 Corporate Woods Suite 300, Rochester, NY 14623
Phone number
(585) 232-3760
Established
New York since 02/11/1937
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
39
SEC notice filing (11 States and Territories)
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOLLY, AUDREY WELLER | SHAREHOLDER | |
| HOLLY, WAYNE FOSTER | EXECUTIVE CHAIRMAN, SHAREHOLDER, DIRECTOR | 1019229 |
| NUGENT, KIM LISBETH | SENIOR VICE PRESIDENT, FINANCIAL ADVISOR, SHAREHOLDER | 4759283 |
| PARKER, DOUGLAS EVANS III | DIRECTOR, SHAREHOLDER, FINANCIAL ADVISOR, SENIOR VICE PRESIDENT | 1772713 |
| HOLLY, TREVOR WILLIAM | PRESIDENT, CEO, SHAREHOLDER | 6215542 |
| BURKE, JAMES PAUL | SECRETARY, VICE PRESIDENT, SHAREHOLDER | 2226672 |
| CONWAY, CHELSEA LEIGH | DIRECTOR | 7976777 |
| DENNIS, CORINNE MARIE | CHIEF COMPLIANCE OFFICER | 6454049 |
| EHRLICH, CURT ALLEN | SENIOR VICE PRESIDENT, FINANCIAL ADVISOR, SHAREHOLDER | 4659166 |
| FALVEY, ROBERT JOHN | SHAREHOLDER (10/1996) | 1926374 |
| FROOD, LAURA SUZANNE | FINANCIAL ADVISOR, SHAREHOLDER | 4211953 |
| FROOD, NEIL STEWART III | FINANCIAL ADVISOR, DIRECTOR | 4483525 |
| HOLLY, CHRISTOPHER ROBERT | SHAREHOLDER | 7993869 |
| HOLLY, CONNOR B | FINANCIAL ADVISOR, SHAREHOLDER, FIRST VICE PRESIDENT | 5887021 |
| HOLLY, JARED FOSTER | SHAREHOLDER | 7648569 |
| HOLLY, JESSICA LAUREN | SHAREHOLDER | 7656552 |
| HOLLY, SEAN TYLER | SHAREHOLDER | 7656542 |
| HOLLY, SHANE ALEXANDER | SHAREHOLDER | 7656553 |
| LACEY, MATTHEW JAMES | CONTROLLER,TREASURER, FINOP, SHAREHOLDER | 5299622 |
| LOHWATER, ROBERT LAWRENCE | CORPORATE OFFICER | 1232267 |
| RALPH JOSEPH DANDREA | DIRECTOR | |
| WEHNER, SANDRA JEAN | SHAREHOLDER | 1472675 |
Regulatory assets under management
| Total Number of Accounts | 7,702 |
| AUM (Assets Under Management) | $ 3,018,502,621 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2025 | ||
| 01/27/2025 | ||
| 01/02/2024 |
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.
Company Information
SAGE, RUTTY & CO., INC.
CRD#: 3254Rochester, NY 14623TRUST BUT VERIFY
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