H G. Schiff
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.
H Gerald Schiff, who also goes by Harrington Gerald Schiff, was a registered financial professional .
H is a previously registered financial professional and started their career in finance in 1984. H had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 29, 2009 - December 31, 2023
SMS FINANCIAL LLC
January 2, 2009 - April 1, 2009
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
September 27, 2005 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 15, 2004 - April 1, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 20, 2004 - September 10, 2004
FFP ADVISORY SERVICES INC
August 20, 2004 - September 10, 2004
FFP SECURITIES, INC.
March 9, 2000 - August 17, 2004
EQUITABLE ADVISORS, LLC
January 6, 1999 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 6, 1999 - August 17, 2004
EQUITABLE ADVISORS, LLC
May 12, 1986 - March 25, 1993
USLIFE EQUITY SALES CORP.
August 30, 1984 - October 22, 1986
DIVERSIFIED EQUITIES CORP.
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
SMS FINANCIAL LLC
CRD#: 147685 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 30 |
| AUM (Assets Under Management) | $ 7,900,000 |
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.
