James A. Schmidt
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Alan Schmidt was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 5 firms and has passed the Series 65, Series 63, Series 2, Series 3, Series 15, Series 7, Series 5 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2011 - March 16, 2012
COWEN PRIME SERVICES LLC
March 10, 1995 - October 25, 2011
D/B/A STRATEGIC PORTFOLIO MANAGEMENT
February 10, 1993 - June 3, 1994
REPUBLIC NEW YORK SECURITIES CORPORATION
September 27, 1985 - March 18, 1992
LEHMAN BROTHERS INC.
January 25, 1982 - October 17, 1985
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 2
Date: 3/2/1995
Non-Member General Securities ExaminationSeries 15
Date: 11/17/1982
Foreign Currency Options ExaminationSeries 5
Date: 10/17/1981
Interest Rate Options ExaminationCurrent Firm
COWEN PRIME SERVICES LLC
CRD#: 153397 / SEC#: , 8-68531
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
