AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
FS

Francis J. Schutte

PERICULUM CAPITAL MARKETS
Carmel, IN 46032
Some features on this profile are disabled
CRD#: 6054401
FS

Professional summary

Francis J. Schutte is a registered financial professional 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.

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) - BD

Click below to view Francis J. Schutte'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

March 1, 2013 - Present

PERICULUM CAPITAL MARKETS, LLC

Office #1: 4 Carter Green Suite 200, Carmel, IN 46032Office #2: 4 Carter Green, Suite 200, Carmel, IN 46032
BD
CRD#: 43362
Carmel, IN

State Registrations and Notice Filings

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

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
Indiana
(5/5/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 8/30/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 2/28/2013
Investment Banking Registered Representative Examination
Principal/Supervisory Exam
RR
Series 28
Date: 6/7/2016
Introducing Broker/Dealer Financial Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PC
PERICULUM CAPITAL MARKETS, LLC
PERICULUM ADVISORS, INC. | SHORTLE ERWIN & COMPANY, LLC. | PREICULUM ADVISORS, LLC. | PERICULUM CAPITAL MARKETS, LLC | PERICULUM ADVISORS, LLC. | PERICULUM ADVISORS, LLC

CRD#: 43362 / SEC#: , 8-50240

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
4 Carter Green Suite 200, Carmel, IN 46032
Mailing Address
4 Carter Green Suite 200, Carmel, IN 46032
Phone number
(317) 636-1800
Established
Indiana since 12/01/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PERICULUM CAPITAL COMPANY, LLCSHAREHOLDER
CANIFF, CHRISTOPHER MICHAELPRESIDENT4618748
FRAZER, SEAN DAVIDCHIEF COMPLIANCE OFFICER5875080
SCHUTTE, FRANCIS J.CHIEF FINANCIAL OFFICER AND FINOP6054401

Disclosures

Regulatory Event1

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

PERICULUM CAPITAL MARKETS, LLC

CRD#: 43362Carmel, IN 46032

TRUST BUT VERIFY

Monitor Francis Schutte

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

John Christopher Cooke
John CookeAdvisorCheck Check Mark
SANCTUARY ADVISORS, LLC
IAR
RR
Indianapolis, IN
Brian Forrest Cooke
Brian CookeAdvisorCheck Check Mark
SANCTUARY ADVISORS, LLC
IAR
RR
Indianapolis, IN
Tammy Kay Williams
Tammy WilliamsAdvisorCheck Check Mark
SANCTUARY ADVISORS, LLC
IAR
RR
Indianapolis, IN
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.