Edward E. Schmitz
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.
Edward Eugene Schmitz, who also goes by Ed Schmidt, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1986. Edward had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 2011 - December 31, 2017
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
September 13, 2011 - December 31, 2017
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 3, 2004 - September 14, 2011
NATIONAL PLANNING CORPORATION
May 6, 2004 - September 14, 2011
NATIONAL PLANNING CORPORATION
June 20, 2002 - May 25, 2004
EIDE BAILLY ADVISORS, LLC
February 7, 2001 - May 4, 2004
CAP PRO BROKERAGE SERVICES, INC.
January 3, 1989 - February 14, 2001
ASKAR CORP.
January 22, 1987 - January 23, 1989
ASSOCIATED FINANCIAL SERVICES, INC.
April 25, 1986 - December 13, 1986
FRIDLUND SECURITIES COMPANY
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
Current Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
