Paul G. Schmid
Professional summary
Paul Gerard Schmid is a registered financial professional currently at CAPIS located in Dallas, Texas.
Paul is registered as a RR (Registered Representative) and started their career in finance in 1990. Paul has worked at 15 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Paul Gerard Schmid's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 6, 2020 - Present
CAPIS
Office #1: 1700 Pacific Ave. Suite 1100, Dallas, TX 75201May 1, 2017 - January 28, 2019
CV BROKERAGE, INC
January 14, 2014 - November 12, 2014
MISMI, INC.
August 27, 2012 - September 11, 2013
WEDBUSH SECURITIES INC.
December 20, 2011 - September 11, 2013
LIGHTSPEED FINANCIAL SERVICES GROUP LLC
August 30, 2011 - December 14, 2011
ATM
September 24, 2009 - March 4, 2011
MIDWOOD SECURITIES, INC.
August 24, 2007 - November 19, 2007
LIQUIDNET, INC.
January 28, 2004 - August 27, 2007
MILETUS TRADING, LLC
March 28, 2002 - November 26, 2002
BRIDGE TRADING COMPANY
August 1, 2000 - January 25, 2002
INSTINET, LLC
March 11, 1997 - August 1, 2000
REUTERS C CORPORATION
May 22, 1995 - November 17, 1995
CASTLE SECURITIES CORP.
January 25, 1994 - August 6, 1996
PAN AMERICAN SECURITIES, INC.
January 8, 1990 - May 13, 1993
BNY MELLON SECURITIES CORPORATION
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
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
CAPIS
CRD#: 7551 / SEC#: , 8-22273
Contact information
FINRA licenses (5 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CULLEN POTTS STOCK TRUST | SHAREHOLDER | |
| HEIDEMANN REVOCABLE TRUST | SHAREHOLDER | |
| CHOATE, DAVID PAUL | CHIEF OPERATIONS OFFICER | 1568590 |
| DONALD C. POTTS DYNASTY TRUST FBO DONALD CULLEN POTTS II | SHAREHOLDER | |
| DONALD C. POTTS DYNASTY TRUST FBO KRISTI POTTS WETHERINGTON | SHAREHOLDER | |
| HEIDEMANN, JORGEN HAMILTON | DIRECTOR | 1042114 |
| HUSEINBEGOVIC, BENIN NMN | CHIEF FINANCIAL OFFICER / FINOP | 4806696 |
| KICAK, THOMAS ALAN | CHIEF COMPLIANCE OFFICER | 1441596 |
| LAMENDOLA, STEPHEN DEAN | CHIEF INFORMATION OFFICER | 4006443 |
| POTTS, DONALD CULLEN II | TRUSTEE, CULLEN POTTS STOCK TRUST | 2845666 |
| POTTS, DONALD CULLEN II | CHAIRMAN OF THE BOARD | 2845666 |
| SARA SUE POTTS DYNASTY TRUST FBO DONALD CULLEN POTTS II | SHAREHOLDER | |
| SARA SUE POTTS DYNASTY TRUST FBO KRISTI POTTS WETHERINGTON | SHAREHOLDER | |
| SEBERT, ANN VANSANT | TRUSTEE, SARA SUE POTTS DYNASTY TRUST FBO DONALD CULLEN POTTS II | 4589262 |
| SEBERT, ANN VANSANT | TRUSTEE, DONALD C. POTTS DYNASTY TRUST FBO DONALD CULLEN POTTS II | 4589262 |
| SEBERT, ANN VANSANT | TRUSTEE, SARA SUE POTTS DYNASTY TRUST FBO KRISTI POTTS WETHERINGTON | 4589262 |
| SEBERT, ANN VANSANT | TRUSTEE, DONALD C. POTTS DYNASTY TRUST FBO KRISTI POTTS WETHERINGTON | 4589262 |
| SEBERT, ANN VANSANT | CHIEF EXECUTIVE OFFICER | 4589262 |
Disclosures
| Regulatory Event | 9 |
Red Flags
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Company Information
CAPIS
CRD#: 7551Dallas, TX 75201TRUST BUT VERIFY
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