Robert 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.
Robert Schmidt, who also goes by Rob Schmidt, Robert James Schmidt, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1984. Robert had worked at 25 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 2022 - July 22, 2026
LPL FINANCIAL LLC
May 18, 2022 - July 22, 2026
LPL FINANCIAL LLC
August 31, 2021 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
August 30, 2021 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
June 7, 2021 - June 24, 2021
CARDEA CAPITAL GROUP, INC.
May 3, 2021 - June 21, 2021
CARDEA CAPITAL ADVISORS, LLC
August 9, 2018 - August 24, 2020
MORGAN STANLEY
June 9, 2018 - August 24, 2020
MORGAN STANLEY
January 18, 2017 - February 13, 2018
FREEDOM INVESTMENT MANAGEMENT, INC.
April 12, 2013 - July 16, 2015
THE PACIFIC FINANCIAL GROUP, INC.
December 21, 2012 - January 23, 2013
ALPS DISTRIBUTORS, INC.
June 26, 2012 - January 23, 2013
PATHWAY STRATEGIC ADVISORS
December 11, 2008 - May 31, 2012
ASSETMARK, INC.
December 4, 2008 - May 31, 2012
CAPITAL BROKERAGE CORPORATION
July 17, 2008 - October 23, 2008
PACER ADVISORS, INC.
July 17, 2008 - October 23, 2008
PACER FINANCIAL, INC.
December 15, 2003 - April 16, 2008
PERSHING LLC
October 15, 2003 - April 16, 2008
BNY ADVISORS
October 14, 2003 - December 15, 2003
LOCKWOOD FINANCIAL SERVICES, INC.
June 14, 1999 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 14, 1999 - November 20, 2003
EQUITABLE ADVISORS, LLC
May 28, 1998 - December 10, 1998
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
February 7, 1994 - January 23, 1998
SALOMON BROTHERS INC.
January 21, 1992 - January 6, 1994
MANULIFE WOOD LOGAN, INC.
July 25, 1990 - September 19, 1991
LEHMAN BROTHERS INC.
October 22, 1987 - January 20, 1990
KEYPORT FINANCIAL SERVICES CORP.
August 3, 1985 - September 17, 1986
CITIGROUP GLOBAL MARKETS INC.
March 27, 1984 - May 29, 1985
CITISTREET EQUITIES LLC
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 214 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
