Joshua M. Schultz

CITY NATIONAL ROCHDALE

St Charles, IL

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CRD#: 6224316

Professional summary

Joshua Michael Schultz, CPWA®, who also goes by Josh Michael Schultz, is a registered financial advisor currently at CITY NATIONAL ROCHDALE located in St Charles, Illinois and CNR SECURITIES, LLC located in Chicago, Illinois.

Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Joshua has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Josh Michael Schultz

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) Name of Entity: Egebrecht & Schultz Enterprises, LLC, Non investment-related, Address: 1102 S 4th St St Charles, IL 60607, Nature of OBA: Floor Coating Installation Services (franchise), Position/Title/Relationship: Partner, Start Date: 10/01/2023, Time devoted: 40 hours per month; 8 during securities trading hours Duties: 50/50 owner with my wife. Oversee operations as Owner/General Manager.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Michael Schultz'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®

CPWA^®

Certified Private Wealth Advisor

Experience

Current

December 13, 2017 - Present

CITY NATIONAL ROCHDALE

Office #2: 225 W. Washington Street, Chicago, IL 60606

RIA

CRD#: 117198

St Charles, IL

Current

September 19, 2017 - Present

CNR SECURITIES, LLC

Office #1: 225 W. Washington Street 14th Floor, Chicago, IL 60606

CRD#: 18466

Chicago, IL

Past

September 11, 2015 - September 12, 2017

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CHICAGO, IL

Past

June 6, 2014 - September 4, 2015

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

DAYTON, OH

Past

July 11, 2013 - September 4, 2015

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

DAYTON, OH

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".

CITY NATIONAL ROCHDALE

CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | CITY NATIONAL ROCHDALE, LLC

CRD#: 117198 / SEC#: 801-27265

RIA

Registered Investment Advisory firm - (6/20/1986 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.

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

IAR

Colorado
(5/28/2025)

IAR

Idaho
(5/29/2025)

Illinois
(9/19/2017)

IAR

Illinois
(12/13/2017)

IAR

Iowa
(5/29/2025)

IAR

Kansas
(5/28/2025)

IAR

Minnesota
(5/29/2025)

IAR

Missouri
(5/29/2025)

IAR

Montana
(5/29/2025)

IAR

Nebraska
(5/29/2025)

IAR

North Dakota
(6/2/2025)

IAR

South Dakota
(5/29/2025)

IAR

Utah
(5/29/2025)

IAR

Wisconsin
(6/3/2025)

IAR

Wyoming
(5/29/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/13/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/12/2016

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: 10/26/2017

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/11/2013

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CITY NATIONAL ROCHDALE

CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | CITY NATIONAL ROCHDALE, LLC

CRD#: 117198 / SEC#: 801-27265

RIA

Registered Investment Advisory firm - (6/20/1986 Approved)

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Contact information

Main Address

400 Park Avenue 10th Floor, New York, NY 10022

Mailing Address

Phone number

(212) 702-3500

Established

Firm type

Fiscal year end

# of Employees

235

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CNR ADV PART 2A WRAP FEE BROCHURE - OCTOBER 28, 2025 (10/28/2025)

CNR ADV PART 2A BROCHURE - OCTOBER 28, 2025 (10/28/2025)

Regulatory assets under management

Total Number of Accounts	41,300
AUM (Assets Under Management)	$ 68,177,828,012

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/28/2025	Cover Page	Report
10/27/2023	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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Joshua M. Schultz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Michael Schultz's CRS (Customer Relationship Summary).

Certified licenses

Experience

CNR SECURITIES, LLC

HORNOR, TOWNSEND & KENT, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

Primary Firm SEC Registration

CITY NATIONAL ROCHDALE

State Registrations and Notice Filings

Exams

Series 65

Date: 12/13/2017

Series 63

Date: 2/12/2016

SIE

Date: 10/1/2018

Series 7

Date: 10/26/2017

Series 6

Date: 7/11/2013

FINRA

Current Firm

CITY NATIONAL ROCHDALE

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

CITY NATIONAL ROCHDALE

TRUST BUT VERIFY

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