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Michael James Schuchard

CRD# 1123788·Registered 1983 - 1996
Barred: Michael James Schuchard was barred by the SEC and is not permitted to conduct business in the covered capacity.

Professional Summary

Michael James Schuchard, who also goes by Mike Schuchard, was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 1983 - 1996. Michael had worked at 4 firms and has passed the Series 63, Series 7 and Series 6 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Mike Schuchard

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

43 years in the financial services industry

Current & Past Employments

TRIQUEST FINANCIAL, INC.·CRD# 6596
BD
Glendale, CA
December 17, 1993 - April 4, 1996
VIP FINANCIAL COMPANIES, INC.·CRD# 18892
BD
June 29, 1990 - July 8, 1994
V.I.P. FINANCIAL COMPANIES·CRD# 15100
BD
November 20, 1984 - June 29, 1990
WOODBURY FINANCIAL SERVICES, INC.·CRD# 421
BD
April 26, 1983 - July 16, 1984

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Current Firm

TF
TRIQUEST FINANCIAL, INC.

G.A. SCHUMACHER & ASSOCIATES, INC. | TRIQUEST FINANCIAL, INC. | SCHUMACHER & ASSOCIATES, INC.

CRD#: 6596 / SEC#: 8-17701
BD
Terminated by SEC on 08/29/2001

Contact Information

Established

California since 07/13/1973

Firm Type

Corporation

Fiscal Year End

January

Documents

Direct owners and executive officers

NamePositionCRD#
SCHUMACHER, GEORGE ALPHONSECEO, V.P., TREASURER415872
WHITING, CHARLES WILLIAMPRESIDENT465646
BRENNER, LEON J.NONE4307890
DUNN, LESLIE JOSEPHCORPORATE SECERTARY; DIRECTOR1008286
VOSS, STEVEN WILLIAMDIRECTOR1502737

Disclosures

Regulatory Event

4

Arbitration

2

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 1991About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Oct 1988About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Apr 1983About the Series 6 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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