Stephen T. 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.
Stephen T Schmidt, who also goes by Stephen Thompsen Schmidt, Stephen Thompson Schmidt, Steve Schmidt, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1982. Stephen had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2015 - June 15, 2017
CANTOR FITZGERALD & CO.
May 27, 2014 - February 18, 2015
ODEON CAPITAL GROUP LLC
September 8, 2009 - October 22, 2013
COHEN & COMPANY SECURITIES, LLC
May 15, 2006 - July 29, 2009
KNIGHT LIBERTAS LLC
January 17, 2003 - May 18, 2006
CREDIT SUISSE SECURITIES (USA) LLC
October 16, 2000 - January 17, 2003
PERSHING LLC
September 8, 1992 - October 16, 2000
CREDIT SUISSE SECURITIES (USA) LLC
June 13, 1986 - April 8, 1988
KIDDER, PEABODY & CO. INCORPORATED
June 20, 1984 - June 18, 1986
L. F. ROTHSCHILD & CO. INCORPORATED
October 20, 1982 - June 20, 1984
WALL STREET DISCOUNTS, 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
Current Firm
CANTOR FITZGERALD & CO.
CRD#: 134 / SEC#: , 8-201
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CFS CF & CO I HOLDINGS, L.P. | MANAGING GENERAL PARTNER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES | 4424051 |
| CFLP CF&CO I HOLDINGS, L.P. | LIMITED PARTNER | |
| KELLY, SAGE NOLAN | CO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING | 2528122 |
| MERKEL, STEPHEN MARCUS | EXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY | 2366318 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
| Regulatory Event | 97 |
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.
