Douglas M. Schmidt

CHESSIECAP SECURITIES

Towson, MD 21204

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CRD#: 1860723

Professional summary

Douglas Morton Schmidt, who also goes by Douglas M Schmidt, is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?

Aliases

Douglas M Schmidt

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Douglas Morton Schmidt's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 1, 2004 - Present

CHESSIECAP SECURITIES, INC.

Office #1: 7911 Sherwood Avenue, Towson, MD 21204

CRD#: 132153

Towson, MD

Past

July 18, 1997 - November 15, 2000

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

September 20, 1990 - July 2, 1997

FERRIS, BAKER WATTS, LLC

CRD#: 285

BALTIMORE, MD

Past

November 23, 1988 - March 13, 1990

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

District of Columbia
(3/18/2005)

Maryland
(11/16/2004)

Virginia
(4/27/2005)

Exams

State Security Law Exam

Series 63

Date: 4/26/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/1/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 28

Date: 3/23/2010

Introducing Broker/Dealer Financial Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/8/2004

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CHESSIECAP SECURITIES, INC.

CRD#: 132153 / SEC#: , 8-66565

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

7911 Sherwood Avenue, Towson, MD 21204

Mailing Address

7911 Sherwood Avenue, Towson, MD 21204

Phone number

(410) 952-2789

Established

Maryland since 04/20/2004

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (3 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

Red Flags

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Firm Stability Insights

Douglas M. Schmidt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Douglas Morton Schmidt's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEGG MASON WOOD WALKER, INCORPORATED

FERRIS, BAKER WATTS, LLC

DREXEL BURNHAM LAMBERT INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 4/26/2005

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/1/2004

Series 14

Date: 1/2/2023

Series 28

Date: 3/23/2010

Series 24

Date: 9/8/2004

FINRA

Current Firm

CHESSIECAP SECURITIES, INC.

Contact information

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CHESSIECAP SECURITIES, INC.

TRUST BUT VERIFY

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