John M. Shultz

SLAVIC MUTUAL FUNDS MANAGEMENT

Boca Raton, FL 33487-3540

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CRD#: 5741160

Professional summary

John Michael Shultz is a registered financial advisor currently at SLAVIC MUTUAL FUNDS MANAGEMENT CORP. located in Boca Raton, Florida.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. John has worked at 5 firms and has passed the Series 65, Series 66, Series 63, SIE 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Michael Shultz's CRS (Customer Relationship Summary).

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

September 17, 2018 - Present

SLAVIC MUTUAL FUNDS MANAGEMENT CORP.

Office #1: 1075 Broken Sound Parkway Nw Suite 100, Boca Raton, FL 33487-3540

RIA

CRD#: 113833

Boca Raton, FL

Past

August 20, 2015 - November 8, 2019

SLAVIC INVESTMENT CORPORATION

CRD#: 22885

BOCA RATON, FL

Past

August 23, 2011 - August 19, 2015

UBS FINANCIAL SERVICES INC.

CRD#: 8174

PHOENIX, AZ

Past

July 7, 2011 - August 24, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHANDLER, AZ

Past

June 21, 2011 - August 24, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CHANDLER, AZ

Past

March 7, 2011 - May 23, 2011

CHARLES SCHWAB & CO., INC.

CRD#: 5393

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".

SLAVIC MUTUAL FUNDS MANAGEMENT CORP.

SLAVIC MUTUAL FUNDS MANAGEMENT CORP. | SLAVIC401K

CRD#: 113833 / SEC#: 801-29099

RIA

Registered Investment Advisory firm - (4/3/1987 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.

Highlighted states indicate IAR registrations

IAR

Colorado
(9/17/2018)

IAR

Delaware
(9/17/2018)

IAR

Minnesota
(9/17/2018)

IAR

Oregon
(9/17/2018)

IAR

Texas
(9/17/2018)

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

State Security Law Exam

IAR

Series 65

Date: 9/24/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 7/6/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/1/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/3/2011

General Securities Representative Examination

Current Firm

SLAVIC MUTUAL FUNDS MANAGEMENT CORP.

SLAVIC MUTUAL FUNDS MANAGEMENT CORP. | SLAVIC401K

CRD#: 113833 / SEC#: 801-29099

RIA

Registered Investment Advisory firm - (4/3/1987 Approved)

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Contact information

Main Address

1075 Broken Sound Parkway Nw Suite 100, Boca Raton, FL 33487-3540

Mailing Address

Phone number

(561) 241-9244

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SLAVIC 2025 AMENDED PART 2A (5/15/2025)

SLAVIC 2025 AMENDED WRAP BROCHURE (5/15/2025)

Regulatory assets under management

Total Number of Accounts	6,128
AUM (Assets Under Management)	$ 4,496,485,013

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/10/2025	Cover Page	Report
03/01/2024	Cover Page	Report

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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Firm Stability Insights

John M. Shultz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Michael Shultz's CRS (Customer Relationship Summary).

Certified licenses

Experience

SLAVIC INVESTMENT CORPORATION

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

SLAVIC MUTUAL FUNDS MANAGEMENT CORP.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/24/2016

Series 66

Date: 7/6/2011

Series 63

Date: 11/1/2010

SIE

Date: 10/1/2018

Series 7

Date: 3/3/2011

Current Firm

SLAVIC MUTUAL FUNDS MANAGEMENT CORP.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SLAVIC MUTUAL FUNDS MANAGEMENT CORP.

TRUST BUT VERIFY

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