Francis J. Schutte
Professional Summary
Francis J. Schutte is a registered financial advisor currently at PERICULUM CAPITAL MARKETS, LLC located in Carmel, Indiana. Francis is registered as a RR (Registered Representative) and started their career in finance in 2013. Francis has worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 79 and Series 28 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
13 years in the financial services industry
Current & Past Employments
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Current Firm
PERICULUM ADVISORS, INC. | SHORTLE ERWIN & COMPANY, LLC. | PREICULUM ADVISORS, LLC. | PERICULUM CAPITAL MARKETS, LLC | PERICULUM ADVISORS, LLC. | PERICULUM ADVISORS, LLC
Contact Information
Main Address
4 Carter Green Suite 200, Carmel, IN 46032Mailing Address
4 Carter Green Suite 200, Carmel, IN 46032Phone Number
(317) 636-1800Established
Indiana since 12/01/1995Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (6 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(5/5/2015)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Feb 2013About the Series 79 examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Jun 2016About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Francis J. Schutte's CRS (Customer Relationship Summary).
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