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DS

Darwin E. Schultz

Some features on this profile are disabled
CRD#: 810990
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.

Darwin Earl Schultz was a registered financial professional .

Darwin is a previously registered financial professional and started their career in finance in 1975. Darwin had worked at 4 firms and has passed the Series 1 exam.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

November 13, 1998 - April 14, 1999

UNITED HERITAGE FINANCIAL SERVICES, INC.

BD
CRD#: 35316
MERIDIAN, ID
Past

September 10, 1991 - November 29, 1996

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
BIRMINGHAM, AL
Past

April 29, 1988 - August 28, 1989

WESTTREND SECURITIES CORPORATION

BD
CRD#: 19490
Past

August 14, 1975 - August 28, 1985

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

BD
CRD#: 5774

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

General Industry/Product Exam
RR
Series 1
Date: 8/9/1975
Registered Representative Examination

Current Firm

UH
UNITED HERITAGE FINANCIAL SERVICES, INC.
UNITED HERITAGE FINANCIAL SERVICES, INC.

CRD#: 35316 / SEC#: , 8-46649

BD
Terminated by SEC on 07/17/2007
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Contact information

Main Address
Mailing Address
Phone number
Established
Idaho since 09/30/1993
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
UNITED HERITAGE FINANCIAL GROUPOWNER
BAKER, GEOFFREY MORGANGENERAL COUNSEL/VICE PRESIDENT4760890
DELANA, KENT MICHAELGENERAL SECURITIES PRINCIPAL CHEIF COMPLIANCE OFFICER/DIRECTOR2647282
HALL, RICHARD EDGARCHAIRMAN
JOHNSON, DENNIS LANEVICE PRESIDENT/DIRECTOR2418282
SMITH, RODNEY LVICE CHAIRMAN
WINDERL, JACK JAYPRESIDENT/DIRECTOR2545413

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

UNITED HERITAGE FINANCIAL SERVICES, INC.

CRD#: 35316

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