Stephen W. Schmidt
Professional summary
Stephen Wilfred Schmidt was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stephen is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Stephen had worked at 1 firm, which includes CITY SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 1986 - October 31, 2001
CITY SECURITIES CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
CITY SECURITIES CORPORATION
CRD#: 1459 / SEC#: 801-67527, 8-975
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITY SECURITIES, LLC | HOLDING COMPANY | |
| OLSEN, JOHN GERALD | CCO | 1395283 |
Disclosures
| Regulatory Event | 14 |
Red Flags
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