Robert A. Schultz
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.
Robert Arthur Schultz, who also goes by Robert A Schultz, Robert A. Schultz, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2009. Robert had worked at 1 firm and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 2009 - April 16, 2020
NOMURA GREENTECH CAPITAL ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NOMURA GREENTECH CAPITAL ADVISORS, LLC
CRD#: 149644 / SEC#: , 8-68158
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NOMURA HOLDINGS INC | PARENT COMPANY | |
| DELPUERTO, FERNANDO JAVIER | CHIEF COMPLIANCE OFFICER | 3168661 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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