John P. Schmidt
Professional summary
John Patrick Schmidt is a registered financial professional currently at ALLIANCEBERNSTEIN INVESTMENTS, INC. located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 1984. John has worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Patrick Schmidt's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 27, 1998 - Present
ALLIANCEBERNSTEIN INVESTMENTS, INC.
Office #1: 66 Hudson Boulevard E, New York, NY 10001March 5, 2014 - December 22, 2022
SANFORD C. BERNSTEIN & CO., LLC
April 10, 1995 - April 6, 1998
STATE STREET RESEARCH INVESTMENT SERVICES, INC.
September 20, 1988 - April 6, 1995
THE ADVISORS GROUP, INC.
December 23, 1987 - September 7, 1988
MERIT CAPITAL CORPORATION
April 27, 1987 - December 8, 1987
RICHARD ROBERTS CAPITAL CORP.
December 11, 1986 - April 22, 1987
SECURITIES RESOURCE GROUP, LTD.
September 3, 1986 - November 5, 1986
FIRST AMERICAN BILTMORE SECURITIES, INC.
June 3, 1986 - July 8, 1986
FIRST AMERICAN BILTMORE SECURITIES, INC.
July 25, 1985 - August 26, 1986
SECURITIES NETWORK, INC.
October 16, 1984 - June 26, 1985
FORESTERS FINANCIAL SERVICES, 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
(4/27/1998)
(1/3/2013)
Exams
FINRA
Current Firm
ALLIANCEBERNSTEIN INVESTMENTS, INC.
CRD#: 14549 / SEC#: , 8-30851
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANCEBERNSTEIN CORPORATION OF DELAWARE ("ABCD") | PARENT OF REGISTRANT | |
| ARCHARD, NOEL CHRISTIAN | HEAD OF ETF AND PORTFOLIO SOLUTIONS | 2563745 |
| GESSNER, MARK ANDREW | CHIEF EXECUTIVE OFFICER | 2447287 |
| KRUEGER, GARY MICHAEL | DIRECTOR, CHIEF FINANCIAL OFFICER | 2840211 |
| MANLEY, MARK RANDALL | DIRECTOR AND CORPORATE SECRETARY | 1294370 |
| WRIGHT, DANIEL EUGENE | CHIEF COMPLIANCE OFFICER | 2204732 |
Disclosures
| Regulatory Event | 5 |
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.
