Daniel L. 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.
Daniel Lee Schultz was a registered financial advisor .
Daniel is a previously registered financial advisor and started their career in finance in 1979. Daniel had worked at 7 firms and has passed the Series 66, Series 63, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2003 - May 26, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 7, 1998 - May 26, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 10, 1994 - September 24, 1998
PRUDENTIAL EQUITY GROUP, LLC
June 7, 1993 - June 22, 1994
NATIONSSECURITIES
March 31, 1992 - June 7, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 21, 1989 - March 31, 1992
NATIONSBANC SECURITIES OF GEORGIA, INC.
June 5, 1984 - November 6, 1989
ARCH W. ROBERTS & CO.
September 7, 1982 - May 25, 1984
FISCHER JOHNSON, INCORPORATED
January 4, 1980 - August 20, 1982
NATIONSBANC SECURITIES OF GEORGIA, INC.
September 24, 1979 - January 14, 1980
HERETH, ORR & JONES, INC.
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
BANC OF AMERICA INVESTMENT SERVICES, INC.
CRD#: 16361 / SEC#: , 8-33805
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MERRILL LYNCH & CO., INC. | SHAREHOLDER | |
| BENSON, MARK JARRETT | PRESIDENT/CEO/DIRECTOR/CHAIRMAN | 1915552 |
| CALL, JOHN SCOTT | SVP/CHIEF COMPLIANCE OFFICER/DIRECTOR OF COMPLIANCE | 2815968 |
| NEWTH, RONALD JOSEPH | CHIEF OPERATING OFFICER/DIRECTOR | 1454390 |
| OSAKI, ISAAC | CHIEF LEGAL OFFICER | 4910551 |
| ROMANO, JOHN GARY | CFO/DIRECTOR | 5078610 |
Disclosures
| Regulatory Event | 53 |
| Civil Event | 1 |
| Arbitration | 68 |
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.
