Carl A. Schultz

FOREFRONT WEALTH MANAGEMENT

Malvern, PA 19355

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CRD#: 720618

Professional summary

Carl Alan Schultz, who also goes by Carl A Schultz, Carl Schultz, is a registered financial advisor currently at FOREFRONT WEALTH MANAGEMENT located in Malvern, Pennsylvania and WAVERLY ADVISORS, LLC located in Malvern, Pennsylvania.

Carl is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. Carl has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carl A Schultz | Carl 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.

CO-TRUSTEE WITH COUSIN; INVESTMENT RELATED; PHILADELPHIA, PA; START DATE 1/2013; 2 HRS PER MONTH. POWER OF ATTORNEY FOR FATHER; INV. RELATED; WYNNEWOOD, PA; START DATE 9/1/2016; LESS THAN 1 HR PER MONTH; 0 HRS DURING TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl Alan 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®

None

Experience

Current

January 12, 2019 - Present

FOREFRONT WEALTH MANAGEMENT

Office #1: 18 Church Road, Malvern, PA 19355

RIA

CRD#: 299003

Malvern, PA

Current

December 5, 2025 - Present

WAVERLY ADVISORS, LLC

Office #1: 18 Church Road, Malvern, PA 19355

RIA

CRD#: 115332

Malvern, PA

Past

September 4, 2003 - January 17, 2019

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

BERWYN, PA

Past

April 25, 2003 - January 17, 2019

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

BERWYN, PA

Past

February 21, 1995 - May 2, 2003

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

December 3, 1984 - March 1, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

May 10, 1982 - December 13, 1984

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

December 24, 1980 - May 14, 1982

ADVEST, INC.

CRD#: 10

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".

WAVERLY ADVISORS, LLC

CRD#: 115332 / SEC#: 801-60741

RIA

Registered Investment Advisory firm - (11/30/2001 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.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(1/12/2019)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/3/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/23/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 6/6/1997

Futures Managed Funds Examination

General Industry/Product Exam

Series 3

Date: 8/25/1982

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/20/1980

General Securities Representative Examination

Current Firm

WAVERLY ADVISORS, LLC

CRD#: 115332 / SEC#: 801-60741

RIA

Registered Investment Advisory firm - (11/30/2001 Approved)

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Contact information

Main Address

600 University Park Place Suite 501, Birmingham, AL 35209

Mailing Address

Phone number

(205) 871-3334

Established

Firm type

Fiscal year end

# of Employees

371

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WAVERLY - ADV PART 2A BROCHURE (11/21/2025)

Regulatory assets under management

Total Number of Accounts	34,313
AUM (Assets Under Management)	$ 28,263,743,199

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/27/2025	Cover Page	Report
02/16/2024	Cover Page	Report
06/15/2023	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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Carl A. Schultz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl Alan Schultz's CRS (Customer Relationship Summary).

Certified licenses

Experience

WAVERLY ADVISORS, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

ADVEST, INC.

Primary Firm SEC Registration

WAVERLY ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/3/2003

Series 63

Date: 12/23/1980

SIE

Date: 10/1/2018

Series 31

Date: 6/6/1997

Series 3

Date: 8/25/1982

Series 7

Date: 12/20/1980

Current Firm

WAVERLY ADVISORS, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

WAVERLY ADVISORS, LLC

TRUST BUT VERIFY

Contact information

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