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Douglas Schultz

Smith Moore & CO.
30 Years of Experience
Effingham, IL
BrokerSells Insurance
View SEC Summary
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Douglas Schultz is a registered investment advisor at Smith Moore & CO., based in Effingham, IL, with 30 years of industry experience. Douglas is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Charitable Giving, Education Planning, Estate Planning, and 6 more. Their firm serves 4,142 clients with $2.4B in assets under management.

Smith Moore & CO.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
45 advisors
Number of Clients
4,142 clients
Average Client Portfolio
$573K average
Assets Under Management
$2.4B

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any3.00%

Annual fees generally range between 0.5% and 3.0% of managed assets and are negotiable based on account size, investment types, portfolio complexity, and related family accounts.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

401 S Banker St, Suite E, Effingham, IL, 62401

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

Douglas works as an insurance agent, providing insurance services and sales since 2009. This activity requires minimal time.

Employment History
Current Registrations
Smith, Moore & CO.Broker
July 2009 - Present · 17 yrs 3 mos
Smith Moore & CO.
July 2009 - Present · 17 yrs 3 mos
Previous Registrations
Wells Fargo Advisors, LLCBroker
January 2008 - August 2009 · 1 yr 7 mos
Wells Fargo Advisors, LLC
January 2008 - August 2009 · 1 yr 7 mos
A. G. Edwards & Sons, INC.
June 2002 - January 2008 · 5 yrs 7 mos
A. G. Edwards & Sons, INC.Broker
January 1999 - January 2008 · 9 yrs
Fiserv Investor Services, INC.Broker
September 1997 - January 1999 · 1 yr 4 mos
Link Investment Services, INC.Broker
February 1996 - September 1997 · 1 yr 7 mos
State Registrations22 states
ALAZCODEFLGAIAILINKYMOMSNCNMNVOHPATNTXVAWIWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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