Hans J. 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.
Hans Jurgen Andreas Schmidt, who also goes by Hans Jurgen Andres Schmdt, Hansjurgan A Schmidt, Hansjurgen Andreas Schmidt, was a registered financial professional .
Hans is a previously registered financial professional and started their career in finance in 1983. Hans had worked at 8 firms and has passed the Series 63 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
June 18, 1992 - June 14, 1993
NATIONAL SECURITIES CORPORATION
November 5, 1990 - March 18, 1991
EDWARD JONES
December 19, 1989 - August 24, 1990
PIPER SANDLER & CO.
February 11, 1988 - December 21, 1989
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
January 29, 1988 - February 4, 1988
BOETTCHER & COMPANY, INC.
March 21, 1986 - January 23, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
January 6, 1984 - March 25, 1986
UBS FINANCIAL SERVICES INC.
March 23, 1983 - December 27, 1983
EVANS LLEWELLYN SECURITIES, 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
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
