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FREDERICK JOSEPH SCHULTZ
RICK SCHULTZ
CRD#: 1987284
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 875 15th Street NW
7th Floor
Washington, DC 20005
Registration History
199019952000200520102015202020252 FIRMS1991 - 1996 (5 years)2 FIRMS2001 - 2009 (7 years)2 FIRMS2009 - 2011 (2 years)2 FIRMS2011 - 2019 (8 years)2 FIRMS2019 - Present (5 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1996 - 1999 (3 years)BD. H. BLAIR & CO., INC. (CRD# 6833)1989 - 1991 (1 year)BROYCE PARK INVESTMENTS, INC. (CRD# 16539)1989 - 1989 (<1 year)
Disclosure(s)
View By:
6/1/2011
Customer Dispute
Settled
6/5/2009
Customer Dispute
Settled
5/9/1996
Employment Separation After Allegations
License(s)

State Registrations

B
Alabama 9/27/2019

IA
Maryland 6/20/2024

B
Arizona 9/26/2019

B
Massachusetts 5/31/2021

B
California 9/19/2019

B
Michigan 6/4/2024

B
Colorado 9/30/2019

B
Nevada 10/3/2019

B
Connecticut 9/20/2019

B
New Hampshire 10/8/2019

B
Delaware 10/2/2019

B
New Jersey 9/25/2019

B
District of Columbia 10/1/2019

B
New York 10/4/2019

IA
District of Columbia 10/4/2019

B
North Carolina 9/30/2019

B
Florida 10/1/2019

B
Ohio 9/27/2019

B
Georgia 9/19/2019

B
Pennsylvania 9/20/2019

IA
Georgia 2/21/2020

B
South Carolina 9/26/2019

B
Hawaii 7/31/2024

B
Tennessee 10/1/2019

B
Idaho 9/19/2019

IA
Texas 9/19/2019

B
Illinois 10/3/2019

B
Texas 9/25/2019

B
Kansas 9/24/2019

B
Utah 9/19/2019

B
Kentucky 8/28/2023

B
Virginia 9/30/2019

B
Louisiana 5/30/2024

B
Washington 9/27/2019

B
Maine 10/11/2019

B
West Virginia 10/8/2019

B
Maryland 9/20/2019

B
Wisconsin 9/27/2019

SRO Registrations

B
BOX Exchange LLC

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe C2 Exchange, Inc.

B
Cboe EDGA Exchange, Inc.

B
Cboe EDGX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Investors' Exchange LLC

B
Long-Term Stock Exchange, Inc.

B
MEMX LLC

B
MIAX Emerald, LLC

B
MIAX PEARL, LLC

B
MIAX Sapphire

B
Miami International Securities Exchange, LLC

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
NYSE National, Inc.

B
Nasdaq BX, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq MRX, 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
J.P. MORGAN SECURITIES LLC (CRD#:79)
875 15th Street NW 7th Floor, Washington, DC 20005
Potomac, MD
Registered with this firm since 9/19/2019

B
J.P. MORGAN SECURITIES LLC (CRD#:79)
875 15th Street NW 7th Floor, Washington, DC 20005
Potomac, MD
Registered with this firm since 9/19/2019

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
08/05/2011 - 09/27/2019 UBS FINANCIAL SERVICES INC. (CRD#:8174) WASHINGTON, DC
B
08/05/2011 - 09/27/2019 UBS FINANCIAL SERVICES INC. (CRD#:8174) WASHINGTON, DC
IA
06/01/2009 - 08/23/2011 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) BETHESDA, MD
B
06/01/2009 - 08/23/2011 MORGAN STANLEY SMITH BARNEY (CRD#:149777) BETHESDA, MD
IA
11/28/2001 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BETHESDA, MD
B
11/07/2001 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BETHESDA, MD
B
08/13/1996 - 11/26/1999 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
03/14/1991 - 06/10/1996 EQ FINANCIAL CONSULTANTS, INC. (CRD#:6627) NEW YORK, NY
B
03/14/1991 - 06/10/1996 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD#:4039) NEW YORK, NY
B
11/20/1989 - 01/08/1991 D. H. BLAIR & CO., INC. (CRD#:6833) NEW YORK, NY
B
09/19/1989 - 10/25/1989 ROYCE PARK INVESTMENTS, INC. (CRD#:16539)
FINRA expelled the firm on 02/06/1992
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B
Broker
IA
Investment Adviser
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.