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Detailed Report
MARK FREDERICK SHULTZ
MARK F SHULTZ
CRD#: 1143473
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 18700 N HAYDEN RD STE 525
SCOTTSDALE, AZ 85255
Registration History
1985199019952000200520102015202020252 FIRMS2009 - 2022 (13 years)2 FIRMS2022 - Present (3 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1993 - 2009 (15 years)BLEHMAN BROTHERS INC. (CRD# 7506)1983 - 1993 (10 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1997 - 2009 (11 years)
Disclosure(s)
View By:
6/13/2001
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 4/5/2022
B
Michigan 4/5/2022
IA
Arizona 4/7/2022
B
Missouri 4/5/2022
B
California 4/5/2022
B
Ohio 4/5/2022
B
Colorado 4/20/2022
B
Tennessee 4/5/2022
B
Connecticut 4/5/2022
B
Texas 4/5/2022
B
Florida 4/5/2022
IA
Texas 4/5/2022
B
Georgia 4/5/2022
B
Vermont 4/5/2022
B
Illinois 4/8/2022
B
Washington 4/5/2022
B
Kentucky 4/5/2022
B
Wisconsin 5/9/2022
B
Maryland 4/5/2022

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
18700 N HAYDEN RD STE 525, SCOTTSDALE, AZ 85255
Registered with this firm since 4/5/2022
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
18700 N HAYDEN RD STE 525, SCOTTSDALE, AZ 85255
Registered with this firm since 4/5/2022
Previous Registration(s)
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IA
 04/23/2009 - 04/14/2022 UBS FINANCIAL SERVICES INC. (CRD#:8174) SCOTTSDALE, AZ
B
 04/23/2009 - 04/14/2022 UBS FINANCIAL SERVICES INC. (CRD#:8174) SCOTTSDALE, AZ
IA
 12/28/1997 - 05/12/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BARRINGTON, IL
B
 07/31/1993 - 05/12/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BARRINGTON, IL
B
 06/22/1983 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.