Pamela G. Schmitz
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.
Pamela Gompertz Schmitz, who also goes by Pamela Morris Gompertz, was a registered financial professional .
Pamela is a previously registered financial professional and started their career in finance in 1989. Pamela had worked at 10 firms and has passed the Series 66, Series 63, SIE 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
Experience
October 13, 2017 - August 30, 2023
BRIO FINANCIAL GROUP
August 14, 2015 - October 20, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
August 14, 2015 - October 20, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
August 5, 2010 - September 9, 2015
LPL FINANCIAL LLC
August 5, 2010 - September 9, 2015
LPL FINANCIAL LLC
January 11, 2010 - June 29, 2010
CINCINNATI ANALYSTS, INC.
March 6, 2007 - July 31, 2009
INLAND SECURITIES CORPORATION
March 25, 1997 - March 19, 2007
CNL SECURITIES CORP.
May 13, 1996 - February 5, 1997
PHOENIX SECURITIES, INC.
May 11, 1995 - April 22, 1996
PERSHING ADVISOR SOLUTIONS LLC
April 24, 1995 - April 12, 1996
PERSHING LLC
January 3, 1995 - March 7, 1995
PERSHING ADVISOR SOLUTIONS LLC
November 1, 1994 - January 3, 1995
PERSHING LLC
March 11, 1989 - April 7, 1990
DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.
Primary Firm SEC Registration
BRIO FINANCIAL GROUP
CRD#: 289889 / SEC#: 801-111830
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
BRIO FINANCIAL GROUP
CRD#: 289889 / SEC#: 801-111830
Contact information
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 804 |
| AUM (Assets Under Management) | $ 1,057,978,008 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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