Who is Davee Schulte?
Table of Contents
Davee Schulte is a currently registered broker and investment advisor with Raymond James Financial Services in Chula Vista, California. He entered the securities industry in 2022 and, according to regulatory records, was previously registered with UnionBanc Investment Services in San Diego, California for a brief period in 2017. His licenses include the Series 7, Series 66, Series 63, Series 6, and the Securities Industry Essentials (SIE) exam. He is licensed to operate in Arizona, California, Kentucky, and Virginia.
Key Details and Background
- CRD Number: 2814412
- Current Firm: Raymond James Financial Services
- Location: Chula Vista, California
- Years of Experience: 3
- Licenses: Series 7, Series 66, Series 63, Series 6, SIE
Summary of Regulatory Findings and Complaints
| Type | Status | Details |
|---|---|---|
| Customer Complaints | 1 (Pending) |
|
| Regulatory Actions (FINRA/SEC) | None | No FINRA or SEC enforcement orders, administrative proceedings, or regulatory actions reported. |
| Civil Litigation | None | No lawsuits, bankruptcies, or liens involving Davee Schulte have been found in federal or state databases. |
| State Regulator Action | None | No investigations or sanctions disclosed in state securities filings for AZ, CA, KY, or VA. |
| News & Media Reports | None | No media or class action filings identified naming Davee Schulte. |
Why Investors Should Pay Attention
While only a single complaint is pending, it alleges misappropriation of customer funds—a serious accusation that violates pivotal FINRA rules:
- FINRA Rule 2150: Prohibits improper use of customer funds or securities.
- FINRA Rule 2010: Requires high standards of commercial honor and equitable trade principles.
Brokers or advisors who fail to comply may be held liable for damages and subject to regulatory discipline.
Red Flags for Investors
- Pending Complaint — Current allegations of misappropriation are unresolved. Even a single complaint can signal risk, especially regarding fiduciary duties and fund management.
- Short Industry Tenure — Less than three years of experience may affect the depth of knowledge and familiarity with complex investment strategies or compliance requirements.
- Lack of Prior Official Regulatory Actions — While Schulte has only one disclosed complaint and no formal actions, new filings or inquiries may not appear immediately in public records. Check FINRA BrokerCheck for the latest disclosures.
What Should You Do If You Have Concerns?
If you have invested with Davee Schulte of Raymond James Financial Services or are unsure about your current portfolio, consider taking the following steps:
- Review your account statements for unexplained transfers or withdrawals.
- Request written confirmation of any investment strategy or change.
- Consult with an experienced investment fraud attorney to protect your interests and explore any options for recovery.
How Haselkorn & Thibaut Can Help
With over 50 years of combined experience, a 98% success rate, and millions recovered for clients, Haselkorn & Thibaut is uniquely positioned to assist investors nationwide. Their seasoned securities attorneys work on a contingency basis (no recovery, no fee), taking the burden and risk off your shoulders.
You don’t have to navigate questions or doubts regarding your advisor alone.
Contact Haselkorn & Thibaut today for a free and confidential consultation:
1-888-885-7162
Take the Next Step
Your investments and financial future are too important to leave to chance. If you believe you may have been impacted by the actions of Davee Schulte at Raymond James Financial Services, or simply wish to review your accounts, take control now.
- Free, no-obligation case review.
- No fee unless you recover losses.
- Personalized attention from attorneys experienced in securities fraud claims.
Do not wait for regulatory proceedings to conclude if you have questions about your investments. Reach out to Haselkorn & Thibaut at 1-888-885-7162 to get answers and protect your rights.
