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Detailed Report
DOUGLAS MICHAEL SCHULTZ
CRD#: 2704102
IA
Investment Adviser
B
Broker
SMITH MOORE & CO.CRD#: 3441 401 S BANKER ST
SUITE E
EFFINGHAM, IL 62401
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2008 - 2009 (1 year)2 FIRMS2009 - Present (15 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)1999 - 2008 (9 years)BFISERV INVESTOR SERVICES, INC. (CRD# 34637)1997 - 1999 (1 year)BLINK INVESTMENT SERVICES, INC. (CRD# 33367)1996 - 1997 (1 year)IAA. G. EDWARDS & SONS, INC. (CRD# 4)2002 - 2008 (5 years)
License(s)

State Registrations

B
Alabama 6/14/2016
B
Missouri 7/31/2009
B
Arizona 7/31/2009
B
Nevada 7/31/2009
B
Colorado 9/22/2014
B
New Mexico 7/27/2021
B
Florida 7/31/2009
B
North Carolina 1/8/2024
B
Georgia 6/24/2021
B
Ohio 1/30/2020
B
Illinois 7/31/2009
B
Pennsylvania 11/21/2019
IA
Illinois 7/31/2009
B
Tennessee 9/13/2019
B
Indiana 7/31/2009
B
Texas 6/24/2011
B
Iowa 6/9/2021
B
Wisconsin 2/24/2025
B
Kentucky 6/18/2012
B
Wyoming 8/26/2021
B
Mississippi 4/23/2024

SRO Registrations

B
 FINRA

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
SMITH MOORE & CO. (CRD#:3441)
401 S BANKER ST SUITE E, EFFINGHAM, IL 62401
Registered with this firm since 7/31/2009
B
SMITH, MOORE & CO. (CRD#:3441)
401 S BANKER ST SUITE E, EFFINGHAM, IL 62401
Registered with this firm since 7/31/2009
Previous Registration(s)
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IA
 01/01/2008 - 08/03/2009 WELLS FARGO ADVISORS, LLC (CRD#:19616) EFFINGHAM, IL
B
 01/01/2008 - 08/03/2009 WELLS FARGO ADVISORS, LLC (CRD#:19616) EFFINGHAM, IL
B
 01/25/1999 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) EFFINGHAM, IL
IA
 06/04/2002 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) EFFINGHAM, IL
B
 09/17/1997 - 01/28/1999 FISERV INVESTOR SERVICES, INC. (CRD#:34637) HOUSTON, TX
B
 02/05/1996 - 09/17/1997 LINK INVESTMENT SERVICES, INC. (CRD#:33367)
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.