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DS

David Stultz

Some features on this profile are disabled
CRD#: 6306244
DS

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.

David Stultz, who also goes by David Samuel Stultz, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2014. David had worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Samuel Stultz

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

April 13, 2015 - July 23, 2015

FCG ADVISORS, LLC

RIA
CRD#: 40633
WINDHAM, ME
Past

April 13, 2015 - July 23, 2015

FCG ADVISORS, LLC

BD
CRD#: 40633
CHATHAM, NJ
Past

July 23, 2014 - December 12, 2014

PFS INVESTMENTS INC.

RIA
CRD#: 10111
TOPSHAM, ME
Past

April 3, 2014 - December 12, 2014

PFS INVESTMENTS INC.

BD
CRD#: 10111
TOPSHAM, ME

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

State Security Law Exam
IAR
Series 65
Date: 6/6/2014
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/12/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/23/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 4/3/2014
Investment Company Products/Variable Contracts Representative Examination

Current Firm

FA
FCG ADVISORS, LLC
BARLEY MILL ASSET MANAGMENT, LLC | FCG WEALTH MANAGEMENT, LLC | FCG ADVISORS, LLC | FCG ADVISORS LLC

CRD#: 40633 / SEC#: , 8-49104

BD
Terminated by SEC on 12/23/2020
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Contact information

Main Address
One Main St #202, Chatham, NJ 07928
Mailing Address
Phone number
Established
New Jersey since 10/26/1994
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
COMBIAS, JOHN ANTHONYPRESIDENT/SECRETARY/MANAGING MEMBER705794
GLATZ, CHRISTOPHER ADAMMUNICIPAL SECURITIES PRINCIPAL2238586
GLATZ, CHRISTOPHER ADAMCHIEF COMPLIANCE OFFICER2238586
GLATZ, CHRISTOPHER ADAMPRINCIPAL OPERATIONS OFFICER2238586
HOLEVAS, THOMAS GREGORYPRINCIPAL FINANCIAL OFFICER/CHIEF OPERATING OFFICER6797273
MEGLIO, STEVEN OTHELLOPRINCIPAL FINANCIAL OFFICER4578670

Disclosures

Regulatory Event3

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

FCG ADVISORS, LLC

CRD#: 40633

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