TS
Thomas C. Shultz
REALTA INVESTMENT ADVISORS,
FRANKLIN, TN 37067
Some features on this profile are disabled
CRD#: 5614228
TS
Professional summary
Thomas Caine Shultz, who also goes by Thomas Shultz, is a registered financial advisor currently at REALTA INVESTMENT ADVISORS, INC located in Franklin, Tennessee and REALTA EQUITIES, INC. located in Franklin, Tennessee.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Thomas has worked at 6 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7, Series 26 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas Shultz
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) LYFEBEAST, LLC dba; SCOTTSDALE, AZ; INVESTMENT AND INSURANCE RELATED; WWW.LYFEBEAST.COM; MANAGING PARTNER;COMMISSIONS/OVERRIDES; OWNER AND OPERATOR OF THE COMPANY; 40+ HOURS PER WEEK DURING NORMAL TRADING HOURS. (2)LYFEADVISORS, dba FOR INVESTMENT ADVISORY; WWW.LYFEADVISORS.COM; MANAGING PARTNER; OWNER AND OPERATOR; 40+ HOURSPER WEEK DURING NORMAL TRADING HOURS. (3) SRO, LLC; MAITLAND, FL; INDEPENDENT MARKETING ORGANIZATION FOR INSURANCESALES, LEAD GENERATION PROGRAM; SROMARKETING.COM; CHIEF MARKETING OFFICER; OVERRIDES FROM INSURANCE AGENTSCONTRACTED; 1/3 OWNER AND OPERATOR; 20+ HOURS PER WEEK DURING NORMAL TRADING HOURS. (4) HOMESMART; SCOTTSDALE, AZ;REALTOR; COMMISSIONS FROM SALE OF REAL ESTATE; 40+ HOURS PER WEEK DURING NORMAL TRADING HOURS. (5) GORDON MARKETING;NOBLESVILLE, IN; INSURURANCE SALES NATIONAL MARKETING ORGANIZATION; WWW.GORDONMARKETING.COM; CONTRACTEDINSURANCE AGENT; COMMISSIONS/OVERRIDES; 40+ HOURS PER WEEK DURING NORMAL TRADING HOURS. (6) LYFEBEAST, LLC dba; AZMEDICARE; MEDICARE EDUCATIONAL WORKSHOPS; WWW.AZMEDICARE.ORG; MANAGING PARTNERS OF AZMEDICARE101; COMMISSIONS; OWNER AND OPERATOR; 40 HOURS PER WEEK DURING NORMAL TRADING HOURS. (7) REALTA INVESTMENT ADVISORS, INC.; WILMINGTON, DE; INVESTMENT ADVISORY SERVICES, INVESTMENT ADVISOR REPRESENTATIVE; WWW.REALTAWEALTH.COM; COMPENSATION IN THE FOR OF FEES; 40 HOURS PER WEEK DURING NORMAL TRADING HOURS. (8) TNMEDICARE101.ORG; START: 10/2025; 840 CRESCENT CENTRE DRIVE STE 530 FRANKLIN, TN 37067; WWW.TNMEDICARE101.ORG/WWW.TENNESSEEMEDICARE101.ORG; NOT INVESTMENT RELATED; NO COMPENSATION; MANAGING PARTNER/HOST EDUCATIONAL WORKSHOPS FOR MEDICARE IN STATE OF TN; 40 HOURS PER MONTH NONE DURING NORMAL TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Caine Shultz'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
July 25, 2023 - Present
REALTA INVESTMENT ADVISORS, INC
Office #1: 840 Crescent Centre Drive Suite 530, Franklin, TN 37067RIA
CRD#: 134952
FRANKLIN, TN
Current
July 2, 2023 - Present
REALTA EQUITIES, INC.
Office #1: 840 Crescent Centre Drive Suite 530, Franklin, TN 37067Office #2: 7300 N Via Paseo Del Sur Suite 204, Scottsdale, AZ 85258BD
CRD#: 23769
FRANKLIN, TN
Past
September 30, 2021 - June 30, 2023
TITAN SECURITIES
RIA
CRD#: 131392
SCOTTSDALE, AZ
Past
February 4, 2021 - June 30, 2023
TITAN SECURITIES
BD
CRD#: 131392
SCOTTSDALE, AZ
Past
July 17, 2018 - January 27, 2021
REALTA INVESTMENT ADVISORS, INC
RIA
CRD#: 134952
SCOTTSDALE, AZ
Past
June 28, 2018 - January 27, 2021
REALTA EQUITIES, INC.
BD
CRD#: 23769
Scottsdale, AZ
Past
July 15, 2014 - June 20, 2017
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
SCOTTSDALE, AZ
Past
June 19, 2014 - June 20, 2017
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
SCOTTSDALE, AZ
Past
January 21, 2011 - June 16, 2011
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SCOTTSDALE, AZ
Past
July 7, 2010 - October 12, 2010
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
PHOENIX, AZ
Past
August 4, 2009 - May 21, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
PHOENIX, AZ
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".
RI
REALTA INVESTMENT ADVISORS, INC
BARRACK YARD ADVISORS | YOUNGS FINANCIAL PLANNING & WEALTH MANAGEMENT | WINTHER ASSET MANAGEMENT | WEALTH SOLUTIONS | STAUFFERWILLIAMS ASSET MANAGEMENT | SOMERVILLE INVESTMENTS | REALTA WEALTH | REALTA INVESTMENT ADVISORS, INC | MCLAUGHLIN FINANCIAL GROUP | LEGEND CAPITAL GROUP | IRON VALLEY WEALTH MANAGEMENT | INDEPENDENT WEALTH MANAGEMENT | HR&S FINANCIAL SERVICES | FOUNDRY WEALTH ADVISORS | DONNELLY, MICHAEL | DONNELLY STEEN & COMPANY | DONNELLY ADVISORS GROUP, INC. | DONNELLY ADVISORS GROUP, INC | DIVERSIFIED ASSET MANAGEMENT | COASTAL VALUE PARTNERS | COASTAL INVESTMENT ADVISORS, INC. | COASTAL INVESTMENT ADVISORS | COASTAL ADVISORY GROUP | COASTAL | BLACKBURN CAPITAL MANAGEMENT
CRD#: 134952 / SEC#: 801-68000
RIA
Registered Investment Advisory firm - (6/6/2007 Approved)New Jersey
Registered Investment Advisory firm - (6/11/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (6/27/2007 Terminated)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
Arizona(7/25/2023)
IAR
Arizona(7/25/2023)
RR
California(7/2/2023)
RR
Colorado(8/11/2023)
RR
Delaware(8/23/2023)
RR
District of Columbia(7/2/2023)
RR
Florida(7/2/2023)
RR
Georgia(7/2/2023)
RR
Idaho(7/2/2023)
RR
Indiana(7/2/2023)
RR
Kansas(7/2/2023)
RR
Maine(8/2/2023)
RR
Maryland(8/30/2023)
RR
Michigan(7/2/2023)
RR
Missouri(7/28/2023)
RR
Nevada(9/5/2023)
RR
New York(7/2/2023)
RR
Oregon(7/26/2023)
RR
Pennsylvania(7/27/2023)
RR
South Dakota(7/5/2023)
RR
Tennessee(6/6/2025)
RR
Texas(7/13/2023)
RR
Washington(7/3/2023)
RR
Wisconsin(7/17/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 7/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RI
REALTA INVESTMENT ADVISORS, INC
BARRACK YARD ADVISORS | YOUNGS FINANCIAL PLANNING & WEALTH MANAGEMENT | WINTHER ASSET MANAGEMENT | WEALTH SOLUTIONS | STAUFFERWILLIAMS ASSET MANAGEMENT | SOMERVILLE INVESTMENTS | REALTA WEALTH | REALTA INVESTMENT ADVISORS, INC | MCLAUGHLIN FINANCIAL GROUP | LEGEND CAPITAL GROUP | IRON VALLEY WEALTH MANAGEMENT | INDEPENDENT WEALTH MANAGEMENT | HR&S FINANCIAL SERVICES | FOUNDRY WEALTH ADVISORS | DONNELLY, MICHAEL | DONNELLY STEEN & COMPANY | DONNELLY ADVISORS GROUP, INC. | DONNELLY ADVISORS GROUP, INC | DIVERSIFIED ASSET MANAGEMENT | COASTAL VALUE PARTNERS | COASTAL INVESTMENT ADVISORS, INC. | COASTAL INVESTMENT ADVISORS | COASTAL ADVISORY GROUP | COASTAL | BLACKBURN CAPITAL MANAGEMENT
CRD#: 134952 / SEC#: 801-68000
RIA
Registered Investment Advisory firm - (6/6/2007 Approved)New Jersey
Registered Investment Advisory firm - (6/11/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (6/27/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1201 N. Orange Street Suite 729, Wilmington, DE 19801
Mailing Address
Phone number
(888) 657-5200
Established
Firm type
Fiscal year end
# of Employees
64
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,958 |
| AUM (Assets Under Management) | $ 343,465,487 |
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.
