Jeffrey W. Schmitt
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.
Jeffrey William Schmitt was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1982. Jeffrey had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2017 - December 7, 2017
COMPASS SECURITIES CORPORATION
November 25, 2013 - March 31, 2015
ENVESTNET PMC
November 22, 2013 - March 31, 2015
PORTFOLIO BROKERAGE SERVICES, INC.
October 10, 2000 - July 18, 2013
PGIM INVESTMENTS LLC
July 16, 1997 - July 15, 2013
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
October 6, 1982 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
October 6, 1982 - December 3, 1997
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Exams
Current Firm
COMPASS SECURITIES CORPORATION
CRD#: 16168 / SEC#: , 8-33438
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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