James R. Schmid
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.
James Robert Schmid, who also goes by Jim Schmid, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 6 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
November 11, 2004 - October 11, 2006
GATEWAY FINANCIAL ADVISORS, INC.
December 5, 2003 - October 4, 2012
FSC SECURITIES CORPORATION
December 5, 2003 - October 4, 2012
FSC SECURITIES CORPORATION
January 22, 2003 - December 1, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 30, 2000 - December 31, 2002
VOYA FINANCIAL ADVISORS, INC.
April 28, 1999 - December 31, 2002
VOYA FINANCIAL ADVISORS, INC.
July 19, 1988 - May 31, 1989
AMERITAS INVESTMENT COMPANY, LLC
June 9, 1986 - November 2, 1987
METROPOLITAN LIFE INSURANCE COMPANY
June 9, 1986 - November 3, 1987
MSI 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
Exams
Current firm
No current employment
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
