Rick A. 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.
Rick Arnold Schmidt, CFP®, who also goes by Rick A Schmidt, was a registered financial professional .
Rick is a previously registered financial professional and started their career in finance in 1989. Rick had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2007
Experience
March 31, 2014 - December 23, 2020
CONFLUENCE WEALTH MANAGEMENT LLC
November 9, 2007 - February 12, 2014
CHINOOK CAPITAL MANAGEMENT LLC
October 28, 1991 - January 3, 2005
COLUMBIA FINANCIAL CENTER INCORPORATED
July 18, 1989 - June 1, 1990
IDS LIFE INSURANCE COMPANY
July 18, 1989 - June 1, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
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
CONFLUENCE WEALTH MANAGEMENT LLC
CRD#: 107810 / SEC#: 801-56974
Contact information
Red Flags
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