Douglas Morton Schmidt
Professional Summary
Douglas Morton Schmidt, who also goes by Douglas M Schmidt, is a registered financial advisor currently at CHESSIECAP SECURITIES, INC. located in Towson, Maryland. Douglas is registered as a RR (Registered Representative) and started their career in finance in 1988. Douglas has worked at 4 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 14, Series 28 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Douglas M Schmidt
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
33 years in the financial services industry
Current & Past Employments
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Current Firm
CHESSIECAP SECURITIES, INC.
Contact Information
Main Address
7911 Sherwood Avenue, Towson, MD 21204Mailing Address
7911 Sherwood Avenue, Towson, MD 21204Phone Number
(410) 952-2789Established
Maryland since 04/20/2004Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (3 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHESSIECAP, INC. | OWNER | — |
| SCHMIDT, DOUGLAS MORTON | PRESIDENT/CEO/EXECUTIVE REPRESENTATIVE/CCO/AMLCO/FINOP | 1860723 |
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(3/18/2005)
(11/16/2004)
(4/27/2005)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Mar 2010About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Douglas Morton Schmidt's CRS (Customer Relationship Summary).
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