Erik J. Schultz
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.
Erik James Schultz was a registered financial professional .
Erik is a previously registered financial professional and started their career in finance in 1980. Erik had worked at 10 firms and has passed the Series 66, Series 63, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2009 - December 31, 2013
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
August 6, 2009 - December 31, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 8, 2006 - August 7, 2009
INVEST FINANCIAL CORPORATION
February 16, 2001 - August 7, 2009
INVEST FINANCIAL CORPORATION
December 9, 1999 - February 16, 2001
EMMETT A LARKIN COMPANY, INC.
January 5, 1995 - November 19, 1999
SUNPOINT SECURITIES, INC.
December 23, 1983 - January 10, 1995
PIPER SANDLER & CO.
March 1, 1983 - January 16, 1984
MORGAN STANLEY DW INC.
September 2, 1980 - January 31, 1983
AMERICAN EXPRESS FINANCIAL CORPORATION
September 2, 1980 - January 31, 1983
AMERIPRISE FINANCIAL SERVICES, LLC
September 2, 1980 - January 31, 1983
IDS LIFE INSURANCE COMPANY
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
Current Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
