Andrew L. Schuler
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.
Andrew Lansing Schuler, who also goes by Andrew Lansing Schuler, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2018. Andrew had worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2025 - March 10, 2026
SAGE, RUTTY & CO., INC.
January 15, 2025 - March 10, 2026
SAGE, RUTTY & CO., INC.
November 28, 2022 - December 31, 2024
MANNING & NAPIER ADVISORS, LLC
November 28, 2022 - December 31, 2024
MANNING & NAPIER INVESTOR SERVICES, INC.
December 16, 2021 - October 15, 2022
NORTHLANDING FINANCIAL PARTNERS, LLC
December 28, 2018 - October 4, 2021
MANNING & NAPIER INVESTOR SERVICES, INC.
Primary Firm SEC Registration
SAGE, RUTTY & CO., INC.
CRD#: 3254 / SEC#: 801-35917, 8-533
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 5/25/2023
General Securities Representative ExaminationSeries 6TO
Date: 12/27/2018
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
SAGE, RUTTY & CO., INC.
CRD#: 3254 / SEC#: 801-35917, 8-533
Contact information
SEC notice filing (11 States and Territories)
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOLLY, AUDREY WELLER | SHAREHOLDER | |
| HOLLY, WAYNE FOSTER | EXECUTIVE CHAIRMAN, SHAREHOLDER, DIRECTOR | 1019229 |
| NUGENT, KIM LISBETH | SENIOR VICE PRESIDENT, FINANCIAL ADVISOR, SHAREHOLDER | 4759283 |
| PARKER, DOUGLAS EVANS III | DIRECTOR, SHAREHOLDER, FINANCIAL ADVISOR, SENIOR VICE PRESIDENT | 1772713 |
| HOLLY, TREVOR WILLIAM | PRESIDENT, CEO, SHAREHOLDER | 6215542 |
| BURKE, JAMES PAUL | SECRETARY, VICE PRESIDENT, SHAREHOLDER | 2226672 |
| CONWAY, CHELSEA LEIGH | DIRECTOR | 7976777 |
| DENNIS, CORINNE MARIE | CHIEF COMPLIANCE OFFICER | 6454049 |
| EHRLICH, CURT ALLEN | SENIOR VICE PRESIDENT, FINANCIAL ADVISOR, SHAREHOLDER | 4659166 |
| FALVEY, ROBERT JOHN | SHAREHOLDER (10/1996) | 1926374 |
| FROOD, LAURA SUZANNE | FINANCIAL ADVISOR, SHAREHOLDER | 4211953 |
| FROOD, NEIL STEWART III | FINANCIAL ADVISOR, DIRECTOR | 4483525 |
| HOLLY, CHRISTOPHER ROBERT | SHAREHOLDER | 7993869 |
| HOLLY, CONNOR B | FINANCIAL ADVISOR, SHAREHOLDER, FIRST VICE PRESIDENT | 5887021 |
| HOLLY, JARED FOSTER | SHAREHOLDER | 7648569 |
| HOLLY, JESSICA LAUREN | SHAREHOLDER | 7656552 |
| HOLLY, SEAN TYLER | SHAREHOLDER | 7656542 |
| HOLLY, SHANE ALEXANDER | SHAREHOLDER | 7656553 |
| LACEY, MATTHEW JAMES | CONTROLLER,TREASURER, FINOP, SHAREHOLDER | 5299622 |
| LOHWATER, ROBERT LAWRENCE | CORPORATE OFFICER | 1232267 |
| RALPH JOSEPH DANDREA | DIRECTOR | |
| WEHNER, SANDRA JEAN | SHAREHOLDER | 1472675 |
Regulatory assets under management
| Total Number of Accounts | 7,702 |
| AUM (Assets Under Management) | $ 3,018,502,621 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2025 | ||
| 01/27/2025 | ||
| 01/02/2024 |
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.
