Individual Firm
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JAMES EMERY SCHUTZ
CRD#: 728206
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 406 SCIENCE DR STE 408
MADISON, WI 53711
MADISON, WI 53711
CETERA ADVISOR NETWORKS LLCCRD#: 13572 406 SCIENCE DR STE 408
MADISON, WI 53711
MADISON, WI 53711
0
Disclosures
43
Years of Experience
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State Registrations
B
Alabama 4/5/2021
B
Missouri 3/26/2021
B
Arizona 3/26/2021
B
New York 3/26/2021
B
California 3/26/2021
B
Ohio 3/26/2021
B
Florida 3/26/2021
B
Washington 3/26/2021
B
Illinois 4/12/2021
B
Wisconsin 3/26/2021
B
Maryland 1/2/2025
IA
Wisconsin 6/29/2023
B
Minnesota 4/8/2021
SRO Registrations
B
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IA
Registered with this firm since 6/29/2023
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Registered with this firm since 3/26/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/26/2021 - 06/29/2023 | Madison, WI | |
IA | 05/25/2006 - 04/05/2021 | MADISON, WI | |
B | 05/25/2006 - 04/05/2021 | MADISON, WI | |
B | 07/23/1999 - 06/15/2006 | WEEHAWKEN, NJ | |
B | 09/29/1989 - 07/27/1999 | MINNEAPOLIS, MN | |
B | 08/23/1985 - 12/12/1989 | MILWAUKEE, WI | |
B | 04/05/1983 - 09/07/1985 | ||
B | 04/13/1981 - 05/02/1983 |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.