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Douglas Michael Schultz

Smith, Moore & Co.

Effingham, IL

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Current Employers
Smith, Moore & Co.

7777 Bonhomme Avenue Suite 2400, Clayton, MO 63105 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2009-07-31
  • IL RA
    APPROVED
    Since 2009-07-31

Branch Locations

401 S Banker St Suite E, Effingham, IL 62401 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Smith Moore & Co Effingham IL 07/2009 Present
Previous Registrations
  • 2008-01-01 → 2009-08-03
    Effingham, IL
  • 2002-06-04 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Effingham, IL
    St. Louis, MO
    Effingham, IL
Other Businesses

Insurance Agent, investment-related, same office address, Insurance service and sales, Start Date - 07/31/2009, 1 hour per month, 1 hour per month during trading hours

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-05-24
S63 Uniform Securities Agent State Law Examination 1996-02-01
  • S66 Uniform Combined State Law Examination
    2002-05-24
  • S63 Uniform Securities Agent State Law Examination
    1996-02-01

View on SEC IAPD

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