Thomas Schultz is a registered investment advisor, based in Rochester, NY, with 6 years of industry experience.
Location
225 Chestnut St, Rochester, NY, 14604
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Regulatory History
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.
Learn about disclosures →Other Business ActivitiesSells Insurance
Thomas operates his LPL business through ESL Investment Services, LLC. He is also an agent selling life and disability insurance and performs notary services, dedicating about 10-20% of his time to insurance sales and about half his time to his duties at ESL Investment Services LLC.
Employment History
Current Registrations
Esl Investment Services, LLCBroker
Esl Investment Services, LLC
LPL Financial LLC
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Citizens Investment Services
Citizens Securities, INC.Broker
State Registrations3 states
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.