John J. Schumacher
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.
John Joseph Schumacher was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 15, Series 3, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2017 - October 30, 2017
UNITED CAPITAL FINANCIAL ADVISORS
August 7, 2014 - October 31, 2017
ASSET ONE LLC
June 12, 2014 - November 1, 2017
GIRARD SECURITIES, INC.
March 20, 2014 - November 1, 2017
GIRARD SECURITIES, INC.
June 15, 2010 - October 7, 2014
WATERS CAPITAL CONSULTANTS, LLC
April 23, 2004 - March 4, 2011
GVC CAPITAL LLC
September 24, 2003 - January 3, 2011
COLORADO INVESTMENT MANAGEMENT INC
November 6, 1992 - May 21, 2001
QUICK & REILLY, INC.
June 27, 1986 - November 10, 1992
LEHMAN BROTHERS INC.
November 22, 1983 - November 10, 1992
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
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
Series 15
Date: 5/25/1984
Foreign Currency Options ExaminationSeries 8
Date: 7/29/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,738 |
| AUM (Assets Under Management) | $ 17,211,052,120 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2024 | ||
| 10/30/2023 | ||
| 01/26/2023 |
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.
