Individual Firm
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STEVEN DAVID SCHULTZ
CRD#: 1764802
IA
B
OPPENHEIMER & CO. INC.CRD#: 249 11780 U.S. HIGHWAY 1
SUITE N101
NORTH PALM BEACH, FL 33408
SUITE N101
NORTH PALM BEACH, FL 33408
View By:
4/16/2001
Customer Dispute
Denied
State Registrations
B
Arizona 1/6/2014
B
New Jersey 9/26/2005
B
California 9/26/2005
B
New York 9/26/2005
B
Colorado 2/3/2025
B
North Carolina 4/28/2017
B
Connecticut 1/6/2014
B
Ohio 3/9/2021
B
Delaware 2/1/2021
B
Oklahoma 11/14/2019
B
Florida 9/26/2005
B
Oregon 6/14/2022
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Florida 9/27/2005
B
Pennsylvania 12/20/2011
B
Georgia 1/5/2006
B
Puerto Rico 3/23/2006
B
Idaho 2/28/2019
B
South Carolina 1/6/2014
B
Kansas 12/12/2024
B
South Dakota 3/20/2024
B
Kentucky 1/4/2016
B
Tennessee 7/30/2018
B
Maine 1/6/2014
B
Texas 3/23/2006
B
Maryland 1/4/2016
IA
Texas 8/29/2017
B
Massachusetts 1/22/2016
B
Utah 5/7/2014
B
Michigan 1/4/2016
B
Virginia 1/4/2016
B
Minnesota 7/3/2018
B
Washington 10/3/2016
B
Missouri 11/28/2022
B
Wisconsin 5/19/2020
SRO Registrations
B
B
B
B
B
B
B
B
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IA
Registered with this firm since 9/27/2005
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Registered with this firm since 9/26/2005
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/25/2002 - 09/28/2005 | BOCA RATON, FL | |
B | 03/22/2002 - 09/28/2005 | NEW YORK, NY | |
B | 06/29/1998 - 04/01/2002 | NEW YORK, NY | |
B | 08/15/1996 - 09/24/1997 | SPRINGFIELD, MA | |
B | 08/15/1996 - 09/24/1997 | NEW YORK, NY |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.