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TS

Thomas F. Schultz

Some features on this profile are disabled
CRD#: 5906074
TS

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.

Thomas Frank Schultz was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 2011. Thomas had worked at 3 firms and has passed the SIE exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 21, 2013 - February 5, 2016

LABRUNERIE FINANCIAL SERVICES, INC.

BD
CRD#: 37627
COLUMBIA, MO
Past

March 1, 2012 - September 1, 2016

M&A SECURITIES GROUP, INC.

BD
CRD#: 39999
KANSAS CITY, MO
Past

July 18, 2011 - February 29, 2012

BURCH & COMPANY, INC

BD
CRD#: 102280
KANSAS CITY, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 9/1/2016
Securities Industry Essentials Examination

Current Firm

LF
LABRUNERIE FINANCIAL SERVICES, INC.
LABRUNERIE FINANCIAL | LABRUNERIE FINANCIAL SERVICES, INC.

CRD#: 37627 / SEC#: , 8-47830

BD
Terminated by SEC on 02/11/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Missouri since 09/06/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
LABRUNERIE, ALEXANDER FERNANDPRESIDENT, CCO2247183
KNUTH, LEANN MARIEGENERAL MANAGER, VICE PRESIDENT, TREASURER5855515

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

LABRUNERIE FINANCIAL SERVICES, INC.

CRD#: 37627

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