Bruce K. 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.
Bruce Karl Schmidt was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1997. Bruce had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 55 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2008 - November 14, 2014
BANKERS & INVESTORS CO.
July 31, 2006 - October 24, 2007
CAMBRIDGE INVESTMENT RESEARCH, INC.
July 9, 2001 - September 22, 2023
BKS INVESTMENT SERVICES, INC.
July 23, 1997 - July 11, 2000
SECURITY INVESTMENT COMPANY OF KANSAS CITY
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 55
Date: 3/20/1999
Limited Representative-Equity Trader ExamCurrent Firm
BANKERS & INVESTORS CO.
CRD#: 6874 / SEC#: , 8-21215
Contact information
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.
